bob200体育证券欺诈：马萨诸塞州对冲基金经理被判处30个月的投资者，东北证券，被命令向客户支付180万美元，而前国家街头行政人员在涉及秘密委员会的计划中认罪

After Pleading Guilty, Massachusetts Money Manager Must Repay Investors
斯蒂芬·尤班克斯（Stephen Eubanks）被判处30个月的票房，票价为43.7万美元。他还必须为20多名受害者支付赔偿金。

Eubanks presented himself as a hedge fund manager at Eubiquity Capital, which he founded. He raised over $700K from investors and claimed that he was running a hedge fund that had ties with瑞银(UBS), TD Ameritrade (AMTD), Fidelity, and Goldman Sachs (GS).

While Eubanks invested some of the clients’ funds for them he also spent a healthy amount of their money on his own spending. Eubanks also is accused of on occasion operating his fund as if it were a Ponzi scam.

Previously, he was a registered representative with a number of big broker-dealers, including Smith Barney, UBS (UBS), Bear Stearns, and Oppenheimer Co. (OPY). He was fired following a number of customer complaints and because of disciplinary matters.

Eubanks pleaded guilty to wire fraud earlier this year. His victims included acquaintances, friends, and neighbors.

FINRA Orders Northeast Securities to Pay Compensatory Damages to Ex-Customer
A Financial Industry Regulatory Authority Panel has decided that Northeast Securities must pay former customer Timothy McLaughlin $1.76M in compensatory damages and $33,840 for his witness and legal fees in his securities arbitration case against the firm. Northeast Securities also has to pay him 9% annual interest on the award beginning from March 1, 2012 until it is fully paid.

在他的公司债券欺诈案中，麦克劳克林指责该公司及其三个经纪人虚假陈述，churning，普通法欺诈，违反信托义务，严重的过失，negligence， F疾病要监督，疏忽陈述，违反证券和交易委员会和FINRA规则。bob200体育

前州街公司高管与美国检察官达成认罪
前州街公司（STT）高管理查德·布姆加特（Richard Boomgaardt）对证券欺诈和电汇欺诈表示认罪。bob200体育Boomgaardt被美国检察官指控，该计划涉及数十亿美元的股权和固定收入交易的秘密委员会，其中六位投资者被欺骗。

Boomgaardt used to head up State Street’s management desk for Europe, the Middle East, and Africa. It was just two weeks ago that Edward Pennings, an ex-State Street senior managing director, pleaded guilty to conspiracy related to the same fraud. A third man, ex-State Street vice president Ross McLellan, has pleaded not guilty to the criminal charges against him.

In 2014, State Street settled with the Financial Conduct Authority in the UK related to the mark-ups charged to these same six clients. The firm paid the regulator a $38M fine. In January, the Boston-based bank settled related civil and criminal charges in the US over its probe into the same matter for $64.6M.

At Shepherd Smith Edwards and Kantas, LTD LLP, we are here to help investors try tor recoup their securities fraud losses. Ourbob200体育证券律师work with investors throughout the US and with investors with claims against financial firms and representatives based in this country. Contact us today.

Second ex-State Street executive admits guilt in U.S. fraud case，路透社，2017年7月12日

东北证券支付180万bob200体育美元的FINRA仲裁要求，InvestmentNews，2017年7月11日