SEC起诉纽约投资顾问Pennetta骗局：向投资者募资逾1050万美元，逾620万美元被挪用
美国证券交易委员会（SEC）2026年6月24日公布，委员会已于6月22日在纽约南区联邦地区法院对纽约居民、投资顾问 Giovanni Pennetta 提起已达成和解意向的诉讼，指控他欺骗投资者向其基金 NextGenTech Investments LLC 投入逾1,050万美元。
SEC诉状称，Pennetta 经豁免报告顾问 Sestante Capital LLC 管理 NextGenTech。2021年2月至2025年12月间，他向至少6名寻求一家私人公司证券敞口的投资者募集逾1,050万美元，谎称他本人或其控制的公司持有该私人公司的股份或有购股渠道。诉状称，Pennetta 及其公司从未持有或有渠道取得这些股份，投资者资金分文未用于购买该公司股票；他挪用逾620万美元供个人使用，并用于偿还另一期 NextGenTech 发行中的一名投资者。
SEC指控 Pennetta 违反《1933年证券法》第17(a)条、《1934年证券交易法》第10(b)条及规则10b-5、《1940年投资顾问法》第206(1)、(2)、(4)条及规则206(4)-8。Pennetta 已同意接受判决，待法院批准：永久禁止违反上述联邦证券法条款，并禁止参与任何证券的发行、购买、要约或出售，自用账户买卖除外；吐赃、判决前利息与罚款由法院应委员会后续动议另行裁定。
在平行刑事案件中，Pennetta 已于2026年3月5日在纽约南区就同一行为承认一项电汇诈骗罪，案号为 United States v. Pennetta, 25-cr-577。SEC表示，调查由其执法部门人员进行，并感谢纽约南区联邦检察官办公室与联邦调查局的协助。
关联：证券交易委员会起诉德州男子加密骗局：募资约1230万美元，至少620万美元被挪用
SEC Charges New York Adviser Pennetta in Scheme That Raised Over $10.5 Million, With Over $6.2 Million Misappropriated
The U.S. Securities and Exchange Commission (SEC) announced on June 24, 2026, that on June 22 it filed settled charges in the U.S. District Court for the Southern District of New York against New York resident and investment adviser Giovanni Pennetta for allegedly defrauding investors who invested over $10.5 million in his fund NextGenTech Investments LLC.
According to the SEC's complaint, Pennetta managed NextGenTech through the exempt reporting adviser Sestante Capital LLC. From February 2021 through December 2025, Pennetta solicited at least six investors seeking economic exposure to the securities of a private company and convinced them to invest over $10.5 million in NextGenTech based on false representations that he or the companies under his control owned or had access to the private company's shares. The complaint alleges that neither Pennetta nor his companies ever held or had access to the shares, and that none of the investor funds were used to purchase shares of the private company's stock. Instead, Pennetta allegedly misappropriated over $6.2 million for his personal use and to repay an investor in a separate NextGenTech offering.
The SEC's complaint charges Pennetta with 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, and Sections 206(1), (2) and (4) of the Investment Advisers Act of 1940 and Rule 206(4)-8 thereunder. Pennetta has consented to the entry of a judgment, subject to court approval, permanently enjoining him from violating the charged provisions and from participating in the issuance, purchase, offer or sale of any security, except for purchases or sales for his own personal account. The proposed settlement provides for the court to determine at a later date, upon motion of the Commission, whether to order disgorgement, prejudgment interest and a penalty.
In a parallel criminal action concerning the same conduct, Pennetta pleaded guilty on March 5, 2026, to one count of wire fraud before the U.S. District Court for the Southern District of New York in United States v. Pennetta, 25-cr-577. The SEC said its investigation was conducted by its enforcement staff and thanked the U.S. Attorney's Office for the Southern District of New York and the Federal Bureau of Investigation for their assistance.
来源：美国证券交易委员会
发布：GSM·美国（发布链接）
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