德克萨斯州证bob200体育券欺诈：地方法院持有前戴尔行政助理及其股票经纪人的配偶负责内幕交易

在美国德克萨斯州西部地区的美国地方法院，詹姆斯·R·诺夫林法官对马琳和约翰·詹森作出了简易判决。在Secv。Jansen中，证券交易委员会已bob200体育向这对夫妇收取Texas securities fraud用于使用有关Dell Inc.的内部信息来购买Perot Systems Corp.证券。bob200体育马琳（Marleen）是戴尔（Dell）的前行政助理。约翰是注册的股票经纪人。

The SEC submitted the allegations against couple in October 2010 and contended that Marleen gave material, nonpublic information about Dell’s upcoming tender offer for Perot shares to her husband. The Commission claimed that on September 18, 2009, which was the final day of trading prior to the announcement of the Perot acquisition, Marleen, who was given “explicit orders” by her employer “not to trade, ” made a cash transfer to the Jantzens’ brokerage account. Within minutes of the money being moved over, John bought 24 Perot call options contracts and 500 shares of Perot common stock. He cashed in on September 21, 2009, which is the same day that Perot Systems and Dell announced the tender offer. (The stock price had immediately gone from $17.91 to $29.56, allowing the couple to make $26,920.50 in trading profits in a single day.)

根据法院的说法，詹森斯违反了《交易法》第14（e）条和第10（b）条，并在其中规则14e-3（a）和10b-5条，而马林也违反了规则14e-3（d）。这对夫妇被禁止将来违反这些规定。他们还必须支付$ 26,920.50的不义之处，以及前判断利息。法院还发现，根据证据，有一个“高度科学家”，尤其是约翰，他作为持牌证券经纪人，最肯定地认识到他的行为及其含义。bob200体育但是，地方法院已将最终裁决推迟了SEC要求的货币罚款请求，直到双方进一步简报。

Jantzens并不是唯一与SEC与Dell-Perot Systems交易有关的内幕交易定居的人。2010年，德克萨斯州居民Reza Saleh同意在合并公开之前在Perot Systems Call Option中进行非法交易后，将超过860万美元的非法利润退还。

Saleh, who used to work for companies owned by the Perot family, settled theTexas securities没有否认或承认指控。他还同意SEC行政命令，称他不能再与任何投资顾问联系。他还同意永久禁令，以防止他违反1934年的《反欺诈条款》的《证券交易法》。bob200体育

公司URT ENTERS SUMMARY JUDGMENT AGAINST INSIDER TRADING DEFENDANTS JOHN JANTZEN AND WIFE, MARLEEN JANTZEN，SEC，2012年3月1日

秒settles insider trading case involving Perot acquaintance Reza Saleh, Dallas News, January 6, 2010

更多博客文章：
德州R.艾伦·斯坦福（Dexan R. Allen Stanford，，，，Stockbroker Fraud Blog, March 7, 2012

NFA Enforcement Action Filed Naming Texas Financial Firm J Hansen Investments，股票经纪人欺诈博客，2012年2月26日

美国量刑委员会对可能影响内幕交易定罪的拟议修正案发表公众评论，机构投资者证券博客，2012年2月29日bob200体育
我们的Houston securities fraud lawyersat Shepherd Smith Edwards and Kantas, LTD, LLP represents investors throughout the state.