交易員天價蘋果股票詐騙案曝光
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????本來是穩賺不賠的好買賣。 ????據周二公布的一份聯邦刑事起訴書顯示，在10月25日（周四），蘋果公司（Apple）公布其第四季度財報當天，戴維·米勒佯裝寫錯了客戶訂單的小數點，自以為可大賺一筆。 ????客戶要求米勒按每股620美元的開盤價，買進1,625股蘋果公司股票，總價值約100萬美元。而米勒卻買進了162.5萬股，價值10億美元，并且據稱他曾向羅奇代爾證券公司（Rochdale Securities）保證，這位客戶有足夠的經濟實力，將承擔所有風險。 ????起訴書顯示，米勒的計劃是，蘋果公司的表現將超出華爾街的預期，股票必將暴漲.這樣一來，這筆被他放大一千倍的交易獲得的收益扣除客戶利潤后的差額就可以可落入他自己的腰包。 ????不幸的是，當天蘋果公司的表現讓華爾街非常失望，并沒有達到分析師的收入預期，而且還令人吃驚地給出了保守的利潤預期。結果，蘋果公司股票不僅沒有暴漲，反而大幅下跌。次日收盤價為601.25美元，比周四開盤價下跌了18.78美元（3%）。 ????按票面價值計算，160萬股蘋果股票的價值比米勒買進時縮水了3,000萬美元。 ????據美國康涅狄格州檢察官透露，米勒還安排了另外一家經紀公司做空500，000股蘋果股票，以對沖自己豪賭的風險，該公司確實能從這筆筆交易中獲利。 ????然而，這并不足以拯救米勒或羅奇代爾證券公司。如今，羅奇代爾持有的倉位已經超出了公司的現金儲備。羅奇代爾公司位于康涅狄格州斯坦福德，已有47年歷史，最近最出名的行為就是聘用了頗受電視臺青睞的銀行分析師迪克·波夫。自事件曝光以來，這家公司一直期待著能有救星將其收購。 ????FBI探員金伯利·梅爾茨在昨天的聲明中表示：“與其他同類案件相似，米勒被指控的犯罪行為是以損害他人利益為自己謀利。通過這種方式操縱和策劃股票交易是非常嚴重的刑事犯罪，它所造成的影響極具惡劣，而且會持續很長時間。” ????米勒被指控涉嫌電信詐騙，最高可判20年監禁。他在繳納300,000美元保釋金后被警方釋放。 ????與此同時，我們不得不懷疑這類案件發生的頻率。如果羅奇代爾能夠填補虧損，這件事是否還會被曝光？ ????本案是又一起“美國訴米勒” 案，編號3：12-mj-288，將由康涅狄格地方法院（布里奇波特）審理。 ????譯者：劉進龍/汪皓 |
????It must have seemed like a sure thing. ????According to a federal criminal complaint filed Tuesday, David Miller thought he'd make a quick killing in Apple (AAPL) on Thursday, Oct. 25 -- the day the company reported its fourth quarter earnings -- by pretending to misplace a decimal point on a client's order. ????The client had asked Miller to buy 1,625 shares of Apple -- worth about $1 million at the opening price of $620 a share. Instead, Miller bought 1.625?million?Apple shares -- a?billion?dollars worth -- allegedly assuring his firm, Rochdale Securities, that the client was good for the money and would assume the risk. ????Miller's plan, according to the complaint, was that Apple would beat the Street's estimates, the stock would soar, and he would pocket the difference between his client's profits and the gains from the 1,000-fold larger trade. ????Unfortunately for Miller,?Apple disappointed Wall Street?that day, falling short of analysts' earnings expectations and offering surprisingly conservative margin guidance. Instead of soaring, the stock fell. It closed the next day at $601.25, down $18.75 (3%) from Thursday's opening price. ????On paper, those 1.6 million Apple shares were worth about $30 million less than what Miller paid for them. ????According to the U.S. attorney for the District of Connecticut, Miller had hedged his bet somewhat by arranging for another brokerage house to short 500,000 shares of Apple -- a trade that firm was able to close at a profit. ????But it was not enough to save Miller or Rochdale Securities, which was left holding a bag bigger than its cash cushion. The 47-year-old Stamford, CT-based firm best known these days for employing Dick Bove, a TV-friendly bank analyst, has been searching ever since for a white knight to buy it out. ????"As is so often seen in these types of cases, the alleged criminal conduct of Miller was for personal gain at the expense and detriment of others," FBI agent Kimberly Mertz said yesterday in a statement. "Manipulating and orchestrating stock transactions in such a manner is a very serious criminal offense and its impact can be both devastating and lasting." ????Miller was charged with wire fraud, which carries a maximum penalty of 20 years. He was released after posting a $300,000 bond. ????Meanwhile you have to wonder how often this kind of thing happens, and whether it would have come to light if Rochdale had been able to cover the losses. ????The case is U.S. v. Miller, 3:12-mj-288, U.S. District Court, District of Connecticut (Bridgeport). |
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