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納斯達(dá)克內(nèi)幕交易者受審

納斯達(dá)克內(nèi)幕交易者受審

Colin Barr 2011-05-30
很顯然,納斯達(dá)克的壞人不止伯尼?麥道夫一個(gè)。

????美國(guó)證券交易所終于重見(jiàn)光明。上周四,美國(guó)證券交易委員會(huì)(Securities and Exchange Commission)對(duì)前納斯達(dá)克(Nasdaq)執(zhí)行董事唐納德?約翰遜提出指控,罪名是其在公司正式發(fā)布消息前,通過(guò)內(nèi)幕交易牟利75.5萬(wàn)美元。

????令人驚訝的是, 直至2009年10月,約翰遜一直主管納斯達(dá)克的“市場(chǎng)情報(bào)”部門(mén)。這個(gè)顯而易見(jiàn)的錯(cuò)誤任命,無(wú)疑使他可以利用工作之便獲取大量信息,并借此在與聯(lián)合治療公司(United Therapeutics)等機(jī)構(gòu)有關(guān)的交易中,賺得大筆進(jìn)項(xiàng)。

????上世紀(jì)90年代,麥道夫曾擔(dān)任三屆納斯達(dá)克主席,直到在史無(wú)前例的龐氏騙局(Ponzi scheme)中他侵吞200億美元巨款案發(fā)才告結(jié)束。近年來(lái),美國(guó)證券交易委員會(huì)因未能將之及時(shí)緝捕歸案而飽受抨擊。但是,他們并未放棄努力,而是為恢復(fù)名譽(yù)不遺余力,這點(diǎn)在其新聞稿的措辭中得到了集中體現(xiàn),著實(shí)令人難忘。功夫不負(fù)有心人,上周四,他們的一切努力終于有了結(jié)果。

????“此案分明是內(nèi)幕交易版的讓狐貍看管雞窩。”美國(guó)證券交易委員會(huì)執(zhí)行部主任(Division of Enforcement)羅伯特?庫(kù)扎米表示。“約翰遜非但不保護(hù)納斯達(dá)克客戶(hù)的信用,反而暗自利用客戶(hù)信息中飽私囊。他甚至用納斯達(dá)克辦公室的計(jì)算機(jī)進(jìn)行交易。”

????簡(jiǎn)直難以想像!無(wú)巧不成書(shū),周四,在另一樁更為嚴(yán)重的刑事內(nèi)幕交易案中,約翰遜也認(rèn)罪伏法,美國(guó)弗吉尼亞?wèn)|區(qū)(Eastern District of Virginia)檢察官指出。不管這只“狐貍”是否承認(rèn)他在納斯達(dá)克這個(gè)“雞窩”中應(yīng)當(dāng)承擔(dān)的責(zé)任,僅憑此項(xiàng)指控,他就得在大牢里坐上20年。

????譯者:大海

????In the latest shining moment for the U.S. stock exchanges, the Securities and Exchange Commission on Thursday charged Donald Johnson, a former Nasdaq managing director, with ripping off investors to the tune of $755,000 by insider trading ahead of the release of corporate press releases.

????Johnson, you will be impressed to learn, was in charge through October 2009 of the Nasdaq's "market intelligence" desk, which is surely a misnomer but seems in any case to have afforded him with a lot of info he used to trade profitably on outfits like United Therapeutics (UTHR).

????The SEC has come under heavy fire in recent years for its failure to nab Madoff, a three-term Nasdaq chairman in the 1990s, before he frittered away $20 billion in the biggest-ever Ponzi scheme. But the agency is doggedly trying to restore its good name by putting really catchy quotes in its press releases, an effort that was much in evidence Thursday.

????"This case is the insider trading version of the fox guarding the henhouse," said Robert Khuzami, director of the SEC's Division of Enforcement. "Instead of protecting NASDAQ client confidences, Johnson secretly traded on client information for personal gain, even using his NASDAQ office computer to make the trades."

????If you can imagine! As it happens, Johnson also pleaded guilty Thursday in a rather more serious criminal insider trading case, the U.S. attorney for the Eastern District of Virginia said. That one could get him 20 years in jail, regardless of whether the fox admits or denies his responsibility in this particular henhouse.

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