欺诈性交易类别档案 - 第2页，共2页 - 投资律师博客，由投资欺诈律师出版 - 牧羊人史密斯·爱德华兹（Smith Edwards）和坎塔斯（LLP）

U.S. Treasury Official Brags of Close Ties to Wall Street in Advancing Support of the “Race to the Bottom” in Compliance Laws

发表在：July 3, 2007 | byShepherd Smith Edwards & Kantas, LLP

The U.S. Treasury Secretary announced the second stage of its “capital markets competitiveness plan” devoted to efforts to “modernize the structure” of the regulatory system for all U.S. financial services providers. The announcement was made before the New York Stock Exchange’s conference on deals and deal-making, hosted by the Wall Street Journal.

随着证券行业正bob200体育在迅速全球化，华尔街坚持认为，除非美国报告，欺诈和其他不法行为的标准，否则它无法与世界其他地方的宽松法规竞争。疯狂地向联邦和州官员大喊大叫，就好像“天空”一样。同时，包括州和联邦办公室的候选人在内的共和党人和民主党人正在接受诱饵。或者，也许这些候选人知道，在华尔街发现了许多最大的竞选捐助者。

The fear mongering about losing the battle for listing shares has even invaded the courts as observers, including the SEC, lobby even the U.S. Supreme Court, stating that our nation is on the brink of disaster since it can not compete with foreign markets with almost no oversight.

Janus Avoids Responsibility to Mutual Fund Shareholders for Alleged Role in Widespread Market Timing Scandal

发表在：June 11, 2007 | byShepherd Smith Edwards & Kantas, LLP

共同基金的股东贾努斯资本集团（Janus Capital Group）不得提出集体诉讼声明，即公司通过允许对冲资金与马里兰特区美国地方法院经营的共同基金的股票违反联邦证券法，从而违反了联邦证券法律。bob200体育。

In recent years, the U.S. Congress has been persuaded to limit class actions involving securities only to claims under federal securities laws. Meanwhile, federal securities claims are limited to misrepresentations and omissions in the purchase and sale of securities and do not, for example, include claims for actions which are simply fraudulent or negligent. Furthermore, courts have decided that no one can be held liable for assisting, or “aiding or abetting”, others in violating federal securities law. Such limitations enabled Janus avoid its responsibility and have the class action against it dismissed.

Janus Group Stock的购买者在投诉中，原告声称，Janus资金在其基金中错误地说明了他们关于市场时机和延迟交易的政策。

Credit Suisse Employee Arrested in Insider Trading Scheme

发表在：June 11, 2007 | byShepherd Smith Edwards & Kantas, LLP

一名员工Global Energy Group of Credit Suisse was arrested and charged for his role in an alleged scheme使用涉及瑞士信贷客户的九项合并交易的物质非公开信息，以获得超过750万美元的利润。美国证券bob200体育交易委员会还对总部位于巴基斯坦的Faysal银行的投资银行业务负责人提出了指控。

Prosecutors said the Faysal Bank agent traded on tips about forthcoming announcements on acquisitions of publicly traded companies Northwestern Corp., Energy Partners Ltd., Veritas DGC Inc., Jacuzzi Brands Inc., Trammell Crow Co., Hydril Co., Caremark Rx Inc., John H. Harland Co., and TXU Corp. Credit Suisse advised either the target company or the acquiring entity in transactions involving each of those companies, they said.

根据瑞士信贷雇员的提示，据称巴基斯坦银行家在公开披露之前购买了证券，然后一旦公开披露收购，就迅速出售了证券。bob200体育通过数十笔交易，包括离岸帐户中的交易，检察官收取的据称计划获得了超过750万美元的利润。

花旗银行的前商品贸易和首席交易员都因夸大利润而被判入狱

发表在：May 30, 2007 | byShepherd Smith Edwards & Kantas, LLP

After his former boss was sentenced, a former head of American trading on the Citibank NA commodity desk was sentenced in May to 12 months and a day in prison and ordered to pay approximately $188,000 after pleading guilty to conspiring to falsify bank records and to commit wire fraud, said a U.S. Attorney for the Southern District of New York.

美国检察官迈克尔·加西亚（Michael Garcia）说，查尔斯·克雷格·吉尔（Charles Craig Gile）在2003年将花旗银行商品台的贸易利润增加了多达2000万美元，以提高他在公司的身材，并使自己有资格获得奖金。加西亚补充说，吉尔（Gile）和奇特（Citicorp）商品交易负责人戴维·贝克尔（David Becker）低估了市场风险，并夸大了当年花旗银行商品持有的财务绩效。3月，贝克尔被判处15个月监禁。

Garcia said the defendants accomplished their scheme using various means, including inputting false data into computer models used to estimate the value of positions held by the commodity desk. Other false inputs were apparently made to artificially decrease the amount of risk being taken by the trading desk. The models therefore showed millions of dollars of artificially inflated profits for Citibank.