bob200体育证券案件：明尼苏达州的顾问因庞氏骗局而入狱，前摩根士丹利经纪人被指控在被禁止退出证券行业的老年投资者招募2.7 m，而808个可再生能源面临欺诈指控

明尼苏达州的投资顾问获得六年监禁期限
根据明尼苏达州商务部的说法，列维·戴维·林德曼（Levi David Lindemann）被命令服刑74个月的监禁（这是六年）Ponzi scam。Lindemann拥有Gershwin Financial，该Financial使用名称替代财富解决方案进行了业务。他对洗钱和联邦邮件欺诈指控表示认罪。

Minnesota Commerce Commissioner Mike Rothman said that Lindemann abused his position as a financial adviser when he defrauded clients, including older investors. He did this by promising to invest their funds in safe investments but instead used their money to make Ponzi-type payments to clients and pay for his own expenses.

Lindemann的有罪认罪指出，他从大约50名投资者那里征收资金。他试图隐藏bob200体育证券欺诈经过generating fake secured notes as supposed evidence of the clients’ investments. The SEC permanently barred him from the securities industry earlier this year.

SEC指控禁止经纪人向年长的投资者出售证券bob200体育
据SEC称，前摩根士丹利（MS）经纪人拉斐尔·卡莱贾（Rafael Calleja）在已经被禁止进入证券行业后，从10名退休人员和老年投资者那里征集了270万美元。bob200体育监管机构声称，Calleja告诉投资者他们的校长已被保险，他们将在一年内获得固定的回报率。同时，据称他至少使用了至少12,000美元的资金来支付巡航，高尔夫郊游和其他个人费用。据称，他还未能告诉投资者他的经纪执照已被撤销。

在2012年，Calleja在与FINRA达成的和解中达成了一家永久性行业酒吧的同意，因为他在摩根士丹利（Morgan Stanley）工作的公司中发生了不当行为。所谓的不当行为包括从客户的证券帐户中提取超过6.7万次。bob200体育美国银行公司（BAC）美林林奇单位经纪人，并建议在未经该人许可的情况下进行交易时，为智力受损的客户推荐了风险的投资策略。

In 2014, Calleja purportedly sold unregistered privately issued securities through Tower Trade Group USA LLC, of which he was part owner. He did this even though he was not allowed to sell these securities. The SEC said that Calleja did not give much information to the investors about the securities, including that their money would be sent abroad where a foreign company affiliate would invest the funds. The affiliate, however, waited almost a year after investors initially made their investment to invest most of the funds. The SEC said that investors have since been paid back in full.

bob200体育证券交易委员会指控可再生能源公司的票房投资者
The SEC has filed fraud charges against 808 Renewable Energy Corp. CEO/founder Patric Carter, COO Peter Kirkbride, sales representatives Thomas Flowers and Martin Kinchloe, 808 Investments LLC, TA Flowers LLC, and West Coast Commodities LLC. The regulator contends that they were involved in a scam that started in 2009 and went on for at least five years. During that time, said the SEC, hundreds of investors handed over more than $30M.

According to the Commission, the defendants misled investor and falsely claimed that the their money would go toward expanding 808 Renewable and acquiring new equipment when, instead, millions of dollars went to “consulting fees” to 808 Investments, which Carter also controlled and owned. Millions more were purportedly paid to sales representatives’ as commission. Investor’s money was also used to support Carter’s expensive lifestyle and make Ponzi-like payments to investors. The SEC claims that in 2013, Carter falsely announced that the New York Stock Exchange had preliminarily approved 808 Renewable’s stock to trade on the AMEX. He then sold millions of his shares to investors.

监管机构正在寻求对不义之处的收益，判决利益，处罚和永久禁令救济的疾病。除了对柯克布里奇和卡特的董事和官员酒吧外，它还希望对被告强加的一分钱股票酒吧。

同时，TA Flowers和Thomas Flowers已经解决了SEC的行动，但他们并没有否认或承认这些指控。一旦法院批准了他们的和解，他们将被计划支付140万美元的差异和判决利息，鲜花的罚款16万美元和便士股票酒吧。

斯蒂尔沃特顾问因从客户那里偷窃而被判入狱74个月明尼苏达州商务部，2016年11月23日

SEC说，前经纪人在行业后偷偷摸摸的证券，bob200体育路透社，2016年11月22日

Read the SEC Complaint in the Renewable Energy Case(PDF)