Insider Trading Roundup: Ex-Broker Pleads Guilty to Securities Fraud Involving IBM Acquisition, BNP Officials Are Under Scrutiny, and Ex-Billionaire Is Tried In Historic Brazilian Case

Former Stockbroker Pleads Guilty to Insider Trading in IBM Case
Daryl Payton, an ex-trader at Euro Pacific Capital Inc., has pleaded guilty to conspiracy to commitsecurities fraud。佩顿（Payton）参与了一个内幕交易骗局，该骗局围绕软件制造商SPSS Inc.，IBM于2009年收购。美国法官接受了他的请求。

Three other people have admitted that they shared and traded on secret information about the deal when it was in the works. The confidential data came from Michael Dallas, a corporate lawyer who has not been charged but was identified in a related S.E.C. securities fraud lawsuit.

达拉斯被指控与苏格兰皇家银行（RBS）分析师特伦特·马丁（Trent Martin）分享秘密信息，后者随后告诉他的室友欧洲太平洋经纪人托马斯·康拉德（Thomas Conradt）。后者与其他人（包括Payton）分享了这些技巧，他们购买了SPSS中的股票和期权。

French Prosecutors Probe BNP Paribas Officials Over Insider Trading Allegations
法国的检察官调查了与法国巴黎银行（BNP Paribas SA（BNP）的90亿美元和解有关的内幕交易指控，该指控正在考虑该银行的一些高级官员有关其可能参与的高级官员。他们想知道银行的董事在2014年出售股票时对该国的诉讼风险有多大了解。取决于他们发现的内容，检察官可能会决定进行正式调查。

6月，法国巴黎银行不仅定居，而且对涉及违反美国对古巴，伊朗和轿车制裁的罪行表示认罪。该银行被指控掩盖了数十亿美元的金融交易，这些交易违反了制裁，并隐藏了其参与此过程的。作为交易的一部分，法国国民党同意禁止其以美元进行某些交易的能力。

前巴西亿万富翁接受内幕交易的审判
在第一个insider trading caseto go to trial in Brazil, Eike Batista, who was once the richest man in that country, must defend himself against charges that he was allegedly involvement in a market manipulation scam related to his petroleum company OGX. Prosecutors claim that Batista traded OGX’s stock because he had advanced information that certain petroleum fields were lacking in economic viability. They contend that his actions resulted in about $580 million in damages.

Also, not long after Batista sold his OGX shares, the company defaulted on $5.8 billion in debt. This compelled OGX to file for the largest-ever corporate bankruptcy in Latin America. While creditors may get some of their funds back, shareholders lost everything.

巴蒂斯塔（Batista）曾经在《福布斯》（Forbes）的亿万富翁名单上被列为第七名，他说他现在处于严重的债务上。

Eike Batista’s Insider Trading Case in Brazil to Test a Much-Criticized Justice System，《纽约时报》，2014年11月16日

美国法官接受经纪人在IBM Insider交易案件中的认罪, Reuters, November 18, 2014

国民党官员在内部交易调查中检查了, The Wall Street Journal, November 18, 2014

More Blog Posts:
Rajaratnam Brother Settles Insider Trading Charges Involving Hedge Fund Advisory Firm Galleon Management，股票经纪欺诈博客，2014年10月23日

Galleon Group创始人的兄弟对内幕交易无罪，机构投资者证券博客，2013年4月2日bob200体育

Ex-Goldman Sachs Board Member Accused of Insider Trading with Galleon Group Co-Founder Seeks to Have SEC Administrative Case Against Him Dropped, Institutional Investor Securities Blog, April 19, 2011