投资者律师博客Ex-Perella Weinberg Partners Managing Director is Convicted of Insider Trading, Giving Tips to His Dad
A jury has Sean Stewart, the ex-managing director of Perella Weinberg Partners LP ofinsider trading。斯图尔特（Stewart）被指控向他的父亲提供有关五项医疗保健协议的机密技巧。
According to prosecutors, Stewart started giving his dad insider information in 2011 while he was VP of J.P. Morgan Chase & Co.’s (JPM) healthcare investment banking group. He continued to tip his dad when he went to work for Perella. As a result of the insider information, Stewart’s dad, Robert Stewart, and Richard Cunniffe made over $1M in illegal profits. The elder Stewart has already pleaded guilty to the charges against him.
During the trial, the younger Stewart testified that his dad had betrayed him by using the information that he had shared with him during casual conversation. He testified that he lied to compliance lawyers at JPMorgan in 2011 to protect his reputation and his father. He claimed that he never thought that his dad would use the information to make trades.
罗伯特（Robert）因对证券欺诈的认罪而被判处四年缓刑。bob200体育此外，他不得不没收$ 150万的不义之财。斯图尔特长老分享了他从儿子那里收到的提示，其中包括库尼菲（Cunniffee），他作证说他们使用了这些技巧来购买股票期权。Cunniffee早些时候对内幕交易表示认罪。
Last year, the Securities and Exchange Commission charged the Sean Stewart and Robert Stewart with civil insider trading charges. The regulator accused them of using “coded” messages to make it appear as if they were talking about golf when they were in fact, purportedly, taking about the insider trading tips.
SEC说，罗伯特和贸易伙伴在合作伙伴的帐户中进行了交易。罗伯特（Robert）收到了现金付款的份额，因此不会有纸条。交易分布在不同的股票期权系列中，因此监管机构不会注意到其非法活动。
在一个无关的内部交易案件中，SEC指控经纪人Paul T. Rampoldi和他的朋友William Scott Blythe III进行内幕交易，这使他们赚了约9万美元的非法利润。两名男子被指控在涉及制药公司Ardea Biosciences的两个大公告之前进行交易。该信息由Ardea员工提供。SEC指控雇员Michael J. Fefferman和经纪人Chad E. Wiegand，他是Fefferman的brother兄弟，Akis Eracleous去年与内幕交易
To avoid detection, Blythe dealt with the Ardea call option contracts using a brokerage account at a brokerag firm different from where the brokers work. A parallel criminal case has been brought against Blythe and Rampoldi.
In still another civil case, The SEC has filed insider trading charges against Dr. Edward Kosinski. The cardiologist is accused of trading ahead of two news announcements made by Regado Biosciences about developments related to a clinical drug trial in which he was the principal investigator. Purportedly knowing the news was not positive, Kosinski sold his 40,000 shares of Regado stock so he wouldn’t sustained about $160K in losses when the public found out that patient enrollment in the drug trial of REG-1 would be suspended because there had been serious allergic reactions. REG-1 is supposed to regulate blood clotting for patients undergoing coronary angioplasty.
Kosinski also made over $3K when he bet Regado’s stock price would drop. He exercised the options after the company’s stock plunged 60%. He purportedly knew ahead of the public announcement that enrollment in the trial would be stopped permanently after a patient had died. The U.S. Attorney’s Office for the District of Connecticut has filed a parallel criminal case against Kosinski.
If you suspect that your investment losses might be due tosecurities fraud, contactThe SSEK Partners Grouptoday.
Jury finds investment banker guilty of insider trading，Chron/AP，2016年8月17日
Father Of Former Investment Bank Managing Director Pleads Guilty To Insider Trading Conspiracy, Justice.gov, August 12, 2015
SEC在Konsiski案中的投诉（PDF）