发表的文章Lazard Ltd.

Charles Marquardt, Evergreen Investment Management Co. LLC’s former chief administrator, has settled charges filed by the US Securities and Exchange Commission that he sold Evergreen Ultra Short Opportunities Fund shares after obtaining insider information that a number of the MBS holdings were going to drop down in value. Marquardt worked for Evergreen at the time he allegedly engaged in内幕交易并担任Evergreen Ultra Short机会基金的投资顾问。共同基金主要投资于抵押证券。bob200体育

据称,2008年6月11日,他发现了其几个MBS持有的价值可能下降,并且超基金可能最终会关闭。马夸(Marquardt)被指控第二天赎回了他所有的股份。他的一位家庭成员还出售了Ultra Fund股票。Marquardt及其相对避免了$ 4,803和14,304美元的财务损失。该基金于当年6月19日清算。

为了解决对他的指控,投资顾问已同意未来违规行为以及为期两年的行业律师。他将支付19,107美元的民事罚款,票据审判利息为1,242美元,言语罚款为19,107美元。通过解决,Marquardt没有承认或否认不法行为。

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