CPA和股票购买人请注意！ATTENTION CPA’s and Stock Purchasers!

Do you have clients who have invested large sums of money to purchase shares of stock in companies, filing or otherwise, which not actually listed on a reputable stock exchange, perhaps with the promise that they will be listed at some future date?
您客户已经投入大笔资金购买股份公司的股票，支付申请费用或其他项目，但实际上这个投资项目并不是由一个有信誉的证券交易所上市，又或许，他们承诺将在未来的一段时间内将上市？

In recent months we have observed a growing number of investments of this sort, many of which are made with California corporations owned or financed by companies located in the PRC.
在最近几个月中，我们已经看到越来越多的此类型的投资，其中有许多位於加州公司是由中国的公司拥有或资助的。

These transactions may be perfectly legitimate. However, they may also constitute securities fraud or violations of federal or California state securities law which govern such matters as:
尽管这些交易是完全合法的，但是他们也可能构成证券欺诈或是违反联邦或加利福尼亚州的证券法律规管等事宜，其中包括：

1. Representations made in soliciting investments
寻求投资的陈述
2. Efforts to “qualify” investors under any one of several exemptions pertaining to small or limited offerings, or
评估及审核投资人是否符合限量发售的豁免资格
3. Adequate documentation and “due diligence” required whenever offering securities (shares of stock) for sale.
出售证券（或股票）时，所要求提供的文件和相关事宜的审查。

If your client (or you) have invested money in a stock corporation and are concerned for whatever reason about the legitimacy of the company or the safety of the investment, please call our office for a free initial consultation and evaluation.
如果您的客户（或您）投资股份公司时，无论出於何种原因，对於该公司的合法性或投资的安全性有任何问题，请拨打我们办公室的服务电话，预约免费的初步谘询和评估。

Likewise, if you feel that your client’s investment advisor has engaged in unlawful practices such as churning (generating excessive commissions by selling and buying shares unnecessarily) or putting client funds into unsuitable investments, please call our office for a free initial consultation and evaluation.
相同的，如果你认为您客户的投资顾问从事违法违规行为，如大量集资（利用不必要的销售和购买股票，以产生过度的佣金），或者把客户的资金投入不适合的投资项目，也请拨打我们办公室的服务电话，预约免费的初步谘询和评估。