SEC结案1亿美元共同基金骗局：主谋阿巴巴内尔被判吐出1.0653亿美元
2026年2月27日，美国证券交易委员会（SEC）宣布，美国纽约南区联邦地区法院已对共同基金经理 Ofer Abarbanel 作出最终同意判决，一桩涉案约1亿美元、涉及两只共同基金的骗局民事案就此结案。法院在2月25日作出这项判决，SEC 于2月27日以第26494号诉讼公告对外发布。
SEC 指控，Abarbanel 通过未经授权、无抵押的贷款交易，把基金资产转移到他自己控制的空壳公司，违反了基金公开文件与招股说明书中写明的条款。涉案两只共同基金是 Income Collecting 1-3 Months T-Bills Mutual Fund 与 State Funds – Enhanced Ultra-Short Duration Mutual Fund。SEC 于2021年6月21日提起诉讼，并取得资产冻结以保全剩余的投资者资金；本案两名共同被告此前已与 SEC 达成和解，一名共同被告与六家接收过涉案资产的公司已被撤诉，经资产冻结追回的资金已返还受害投资者。
最终判决永久禁止 Abarbanel 再违反《1933年证券法》第17(a)条、《1934年证券交易法》第10(b)条与第10b-5规则、《投资顾问法》第206条以及《投资公司法》第34(b)条。判决责令他吐出非法所得106,530,000美元，并支付判决前利息3,639,277美元；其中88,785,385美元已由资产冻结追回并返还投资者、予以抵扣，剩余部分视为已由平行刑事案的没收与赔偿令满足。鉴于他在刑事案中已被定罪量刑，本案不另处民事罚款。SEC 另通过一项和解后续行政程序，禁止他与经纪商、交易商、投资顾问等机构发生关联。
在平行刑事案中，纽约南区联邦检察官办公室另行起诉，Abarbanel 于2022年9月认罪，后来被判处四年监禁，并被责令没收财产、向受害者赔偿1.06亿美元。
关联：虚拟货币平台Paxful被判付400万美元刑事罚款：明知客户行骗仍为其转移资金
SEC Closes $100 Million Mutual Fund Fraud: Final Judgment Orders Abarbanel to Disgorge $106.53 Million
On February 27, 2026, the U.S. Securities and Exchange Commission announced that the U.S. District Court for the Southern District of New York had entered a final consent judgment against mutual fund manager Ofer Abarbanel, closing the civil case over an alleged scheme of about $100 million involving two mutual funds. The court entered the judgment on February 25, and the SEC published it as Litigation Release No. 26494 on February 27.
As alleged in the SEC's amended complaint, Abarbanel diverted fund assets to shell companies under his control using unauthorized, uncollateralized loan transactions that violated the terms set out in the funds' public filings and prospectuses. The two funds were the Income Collecting 1-3 Months T-Bills Mutual Fund and the State Funds – Enhanced Ultra-Short Duration Mutual Fund. The SEC filed the case on June 21, 2021, and obtained an asset freeze to safeguard the remaining investor funds; it previously reached settlements with two co-defendants and dismissed the action against one co-defendant and the six companies named as relief defendants, and the frozen assets were returned to harmed investors.
The final judgment permanently enjoins Abarbanel from future violations of Section 17(a) of the Securities Act of 1933, Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder, Sections 206(1), (2) and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder, and Section 34(b) of the Investment Company Act of 1940. It orders disgorgement of $106,530,000 plus prejudgment interest of $3,639,277, offset by $88,785,385 collected through the asset freeze and returned to investors, with the remaining amount deemed satisfied by the forfeiture and restitution orders in the parallel criminal case. No civil money penalty was imposed in light of his criminal conviction and sentence. The Commission also instituted a settled follow-on administrative proceeding barring Abarbanel from association with any broker, dealer, investment adviser, municipal securities dealer, municipal advisor, transfer agent, or nationally recognized statistical rating organization.
In the parallel criminal case brought by the U.S. Attorney's Office for the Southern District of New York, Abarbanel pleaded guilty in September 2022 and was later sentenced to four years in prison and ordered to forfeit and pay restitution to victims in the amount of $106 million.
Related: Paxful Sentenced to $4 Million Criminal Penalty for Knowingly Moving Money for Criminals
来源：美国证券交易委员会
发布：GSM·美国（发布链接）
图片来源：图：位于美国华盛顿的美国证券交易委员会总部大楼正面。AgnosticPreachersKid 摄，CC BY-SA 3.0，经 Wikimedia Commons。 / Photo: The front of the U.S. Securities and Exchange Commission headquarters building in Washington, D.C. Photo by AgnosticPreachersKid, CC BY-SA 3.0, via Wikimedia Commons.
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