April 20, 2018 Comments (0) Blog

加州理财顾问LI-LIN HSU(徐翊绫)被指控欺诈及洗钱罪

Li Lin Hsu
(Last Updated On: May 9, 2018)

Li-Lin Hsu -aka Yilin Hsu – Ameriprise – Los Angeles, CA – Investigation

Li-Lin Hsu – 又名Yilin Hsu (徐翊绫)- 阿默普莱斯金融(Ameriprise) -加州洛杉矶-调查

According to an article on April 19 in My News LA, former Ameriprise financial advisor Li-Lin Hsu has been charged with fraud and money laundering.  Instead of investing clients’ funds as promised, Hsu allegedly used the money for a $1 million condominium and other personal expenses.

据加州媒体My News LA 4月19日的一篇报道,阿默普莱斯金融(Ameriprise financial)前理财顾问徐翊绫(Li-Lin Hsu)被指控欺诈和洗钱罪。据称,徐并未按照承诺将客户的钱用于投资,而是用于购买价值100万美元的公寓以及其他个人支出。

Hsu, 40, was reportedly arrested by FBI agents after an eight-count indictment was returned by a federal grand jury a day earlier, according to the U.S. Attorney’s Office.

根据联邦检察官办公室消息,联邦大陪审团于前一日签发了含有八项指控的起诉书,联邦调查局(FBI)随即逮捕了现年40岁的徐翊绫。

According to the indictment, Hsu has been charged with three counts each of mail and wire fraud, and one count each of money laundering and obstruction of justice.

根据起诉书,徐翊绫被指控邮件欺诈罪和电汇欺诈罪各三项,还被指一项洗钱罪和一项妨碍司法公正罪。

Hsu is reportedly expected to stand trial June 12 in Santa Ana, CA.

据称,徐翊绫将于6月12日在加州圣安娜受审。

During a five-year period, Hsu allegedly solicited investments from clients through advertisements in local Chinese-language newspapers. The indictment states that at least 11 victims sustained total losses of at least $2 million.

据称,在五年内,徐翊绫通过当地的中文报纸广告招揽客户投资。起诉书称,至少有11名受害者受骗上当,总计损失至少有200万美元。

Additionally, the indictment alleges that Hsu spent the clients’ money on personal expenses, such as credit card bills, personal loans, luxury items and real estate, instead of investing it as promised.

另外,起诉书指控徐翊绫非但未按承诺将客户的钱用于投资,反而将其用于个人消费,例如信用卡账单偿还、个人贷款、奢侈品消费和房地产投资,

Prosecutors allege that Hsu attempted to conceal the scheme by using some of the stolen money to pay back other victims, and that she purportedly sent her clients fake account statements and investment purchase confirmations.

检察官宣称,徐翊绫试图将盗用钱款用拆东墙补西墙的方法来掩盖骗局,即用一些骗款来偿还其他受害者。徐翊绫还据称将伪造的银行账单和投资购买确认函寄给客户。

The money laundering charge alleges Hsu used nearly $1 million stolen from one victim to purchase the condo in Diamond Bar, California.

洗钱罪则指控徐翊绫从一名受害者手中盗取将近100万美元,用于购买加州钻石吧的一处公寓。

According to her FINRA BrokerCheck report, Hsu was employed by Ameriprise in Los Angeles, CA  from February 2006 until she was fired in 2015 for “company policy violations related to maintaining a beneficiary relationship with a client, complaint handling, commingling funds, and conducting business with a foreign client.”

根据徐翊绫在美国金融业监管局(FINRA) BrokerCheck数据库中的信息文件,她自2006年2月起在加州洛杉矶受雇于阿默普莱斯金融(Ameriprise)公司,直到2015年由于“违反公司规定,与一名客户保持利益关系、投诉处理、混合基金,以及同一名外国客户开展业务”而被开除。

After her termination in 2015, Hsu allegedly continued the scheme. FINRA reportedly barred Hsu from working in the securities industry in February 2016.

被公司开除以后,徐翊绫据称仍然进行招摇撞骗。据传,2016年2月,美国金融业监管局(FINRA)禁止其参与证券行业活动。

Hsu reportedly faces up to 20 years in federal prison on each of the fraud counts, 10 years on the money laundering count, and 5 years on the obstruction of justice charge if convicted, prosecutors said.

检察官称,如果罪名成立,徐翊绫的每一项欺诈罪都将面临在联邦监狱内高达20年的监禁,洗钱罪将获10年监禁,妨碍司法公正罪则获5年。

Failure to Supervise

未履行监督责任

U.S. brokerage firms have a legal responsibility to adequately supervise the business activities of their employees. If a broker engages in a scheme that misleads clients the brokerage firm that employs them may be liable for negligent supervision.

美国券商对于充分监管其员工的商业行为负有法律责任。如果经纪人参与到诈骗中,误导客户,那么雇佣该经纪人的券商可能因疏于监管而承担法律责任。

If it can be demonstrated that Hsu’s former employer, Ameriprise failed to properly supervise her, it may be held responsible for the losses in a FINRA arbitration claim.

如果能够证明徐翊绫的前雇主阿默普莱斯金融(Ameriprise)未能适当监督其工作,该公司可能将在美国金融业管理局(FINRA)的仲裁索赔中对损失承担法律责任。

The Financial Industry Regulatory Authority (FINRA) can help resolve problems and disputes through two non-judicial proceedings: arbitration and mediation. FINRA’s Dispute Resolution forum handles nearly all of the securities-related arbitrations and mediations in the United States.

美国金融业监管局(FINRA)能够通过两类非司法程序来解决问题和争端:仲裁和调解。美国金融业监管局的纠纷解决中心处理几乎全美所有关于证券的仲裁和调解。

The White Law Group has handled over 600 FINRA arbitration cases, including handling claims against most of the FINRA registered broker-dealers. These cases have included claims for, among other things, unsuitability, fraud, negligence, failure to supervise, and breach of fiduciary duty.

White律师事务所已经承担超过600起FINRA的仲裁案件,包括针对大部分美国金融业管理局(FINRA)注册券商的索赔。这些案件中,尤以针对不当、欺诈、过失、未履行监督责任、未满信托义务而提出的索赔为多数。

If you have questions about investments you made with Li-Lin Hsu, the securities attorneys of The White Law Group may be able to help you. To speak with a securities attorney in English, please call (888)637-5510. Alternatively, you may contact us using the form on this page in Chinese. Someone will respond to you as soon as possible.

如果您与徐翊绫有投资关系并对此有疑问,White律师事务所的券商律师乐于为您提供帮助。如果您想用英文与律师进行交流,请拨打(888)637-5510。此外,您也可以用中文填写本页面的联系表格,我们的专员会尽快给您回复。

The White Law Group, LLC is a national securities fraud, securities arbitration, investor protection, and securities regulation/compliance law firm with offices in Chicago, Illinois and Vero Beach, Florida.

White律师事务所的业务包括全美范围内的证券欺诈、证券仲裁、投资人保护以及证券合规。事务所在芝加哥(伊利诺伊州)和维罗海滩市(佛罗里达州)都设有办公室。

For more information on The White Law Group, and its representation of investors, please visit our website at http://www.whitesecuritieslaw.com.

如果您想进一步了解White律师事务所以及所覆盖的法律服务,请访问我们的网站:http://www.whitesecuritieslaw.com.

 

 

 

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