温莎街头资本与泵送骗局有关

The US Securities and Exchange Commission has filed an administrative case against Windsor Street Capital and John D. Telfer, its ex-anti-money laundering officer. The regulator’s enforcement division claims that the New York-based broker dealer did not file Suspicious Activity Reports for $24.8M of suspect transactions, including those connected to an allegedpump-and-dump scam.

The regulator claims that Windsor Street Capital, at the time known as Meyers Associates LP, and Telfer should have been aware of the suspect circumstances involving a lot of these transactions and conducted a probe—in particular, into transactions involving William Goode and Raymond Barton. These men are microcap stock financiers accused of running a multi-million dollar pump-and=dump scam.

The SEC has filed separate charges against them, as well as against Kenneth Manzo, Matthew Briggs, and Justin Sindelman. The five of them are accused of acquiring shares of dormant shell companies that were supposed to be part of the dietary supplement industry, falsely marketing products and news related to the company, and then dumping the shares onto the market for investors to buy at inflated rates.

Goode, Briggs, and Barton settled the SEC charges against them by agreeing to pay penalties and interest of over $8.7M collectively. They did not, however, deny or admit to the allegations. Manzo, who admitted wrongdoing, will pay over $95K to resolve the SEC charges.

As to how this relates to the SEC securities case against the former Meyers Associates, Goode and Barton allegedly deposited penny stock blocks in their accounts with the broker-dealer, liquidated them, and then moved the proceeds out of the firm. The SEC alleges that these shares couldn’t be sold legally because there was no registration statement or registration exemption. However, instead of conducting a probe into the deposits, the firm is accused of accepting Goode and Barton’s claims that they had required the needed registration exemptions.

泵送骗局
在一项泵和降雨计划中，持有股票等待的人通常通过虚假或误导性陈述或其他公告来夸大股票价格。在投资者急于根据此信息购买股票后，骗局的煽动者将股票投掷。这导致股票的价格下跌，投资者在冲刺最终亏损期间购买了股票。

Ourinvestment fraud lawyers与投资者合作，试图收回损失的资金。接触Shepherd Smith Edwards and Kantas, LTD LLPtoday.

The SEC Order Against Windsor Street/Meyers Associates and Teller（PDF）
The SEC Order in the Pump-and-Dump Case（PDF）