The Securities and Exchange Commission has charged former broker Surage Kamal Roshan Perera and Janues Capital Incorporated with defrauding a victim out of millions. The SEC claims that Perera lied to investors about investment strategies and opportunities, concealed trading losses and used money from other sources in a Ponzi scheme. The SEC was granted emergency relief by obtaining a temporary restraining and asset freezing.
Perera, according to the SEC complaint, falsely told an investor that Janues was able to access restricted securities for discounted prices because of connections with institutional investors. He also promoted an option trading strategy called “Options Strangles”, which he claimed would prevent losses, and provide guaranteed returns of 9 percent or more. Perera and Janues are accused of misappropriating at least $3.3million out of $4.3million. Perera concealed the losses by presenting phony statements of account and confirmations. Perera, to further conceal the losses, used funds from another source to make payments to investors in a similar manner to a Ponzi Scheme.
The U.S. Attorney’s Office of the Eastern District of New York announced criminal charges against Perera in addition to the SEC’s charges.
Perera, Janues, and other defendants in the SEC’s complaint are accused of violating a number of securities laws. These include the Securities Act of 1933 as well the Securities Exchange Act of 1933. Perera is charged with aiding Janues in committing the alleged crimes. Nishani Aahakoon’s brokerage account, which was used by Perera, Janues and others, is named as relief defendant. The SEC obtained a temporary asset freezing to prevent further dissipation and seeks permanent injunctions and disgorgement with interest of any ill-gotten gain.
Austin Thompson and Christopher Ferrante, both of the New York Regional Office’s, are conducting the SEC investigation. They are under the supervision Hane L. KIM, the Chief of Retail Strategy Task Force and Tejal SHAH, also of the New York Regional Office. Kevin P. McGrath, Mr. Thompson and the Retail Strategy Task Force will lead SEC litigation against Perera & Janues. The SEC is grateful for the help of the U.S. Attorney’s Office of Eastern District of New York, and the Federal Bureau of Investigation.
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SEC
Securities and Exchange Commission, or SEC for short, is an American regulatory agency that protects and supervises the US securities market. The SEC was created in 1934, as a reaction to the 1929 crash of the stock markets and the Great Depression. The SEC’s primary objectives are to enforce the securities laws, ensure fair markets, facilitate capital creation, and protect investors. The SEC achieves its goals in a variety of ways, including by regulating the securities market, requiring disclosure of relevant financial data, monitoring insider trades, and enforcing securities laws. The SEC is a key player in maintaining and stabilizing the U.S. Financial System and promoting investor trust.
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