特拉华州与剑桥投资研究达成逾105万美元和解 离职顾问客户账户无人管理仍被收费
特拉华州司法部10月16日宣布，总检察长凯西·詹宁斯（Kathy Jennings）已与剑桥投资研究公司（Cambridge Investment Research, Inc.）及剑桥投资研究顾问公司（Cambridge Investment Research Advisors, Inc.）达成和解，了结州证券部门对这两家公司的调查。和解同意令于10月9日签署：剑桥同意支付95万美元罚款和5万美元费用，并向受影响的客户支付52,465美元赔偿，三项合计超过105万美元。
证券部门的调查发现，剑桥旗下一名投资顾问离职后，其名下客户账户在近一年时间里无人管理，客户却持续被收取顾问费。司法部指剑桥未能合理监督其投资顾问代表，未能发现账户在顾问离职后已无人管理，也未能及时停止向这些客户收费，违反了《特拉华州证券法》和《特拉华州统一证券守则》。
詹宁斯在宣布和解时表示，一家公司向顾客收取并未实际提供的服务费用，就会被追究责任。和解还要求剑桥落实一系列旨在防止类似问题再次发生的措施。投资者保护局局长吉尔·夏普（Jill Sharp）表示，投资顾问公司理应监督其顾问，并在顾问离职时及时重新指派客户账户。
司法部表示，剑桥在调查期间予以配合，并因配合调查在和解金额上获得相应扣减。
Delaware Reaches $1.05 Million-Plus Settlement with Cambridge Investment Research over Unmanaged Accounts Still Charged Fees
The Delaware Department of Justice announced on October 16 that Attorney General Kathy Jennings has reached a settlement with Cambridge Investment Research, Inc. and Cambridge Investment Research Advisors, Inc., resolving an investigation by the Department's Securities Unit. Under the consent order, signed October 9, the firms will pay $950,000 in penalties and $50,000 in costs and will pay $52,465 in restitution to affected customers — more than $1.05 million in total.
The Securities Unit found that after one of Cambridge's investment adviser representatives left the firm, the adviser's customer accounts went unmanaged for nearly a year while the customers continued to be charged advisory fees. The Department alleged that Cambridge failed to reasonably supervise its investment adviser representatives, failed to detect that the accounts were unmanaged after the departure, and failed to stop charging the fees in a timely manner, in violation of the Delaware Securities Act and the Delaware Uniform Securities Code.
Announcing the settlement, Jennings said a company that charges customers for services it is not providing will be held accountable. The settlement also requires Cambridge to implement measures designed to prevent similar failures. Investor Protection Director Jill Sharp said advisory firms are reasonably obligated to supervise their advisers and to promptly reassign customer accounts when an adviser departs.
The Department said Cambridge cooperated in the investigation and received a corresponding reduction in the settlement amount for its cooperation.
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图片来源：图：特拉华州总检察长凯西·詹宁斯在记者会上发言（资料图）。图片来源：美国消费者金融保护局（CFPB），公共领域。Photo: Delaware Attorney General Kathy Jennings speaks at a press conference (file photo). Image: Consumer Financial Protection Bureau, public domain.
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