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 美国股市系列：华裔夫妇内线交易认罪 刑期可达三年（转帖） |
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难道SEC有什么直接的证据吗？ -- handsomekenney - (119 Byte) 2007-9-08 周六, 22:02 (639 reads) |
wanderer
[博客]
[个人文集]
头衔: 海归准将
声望: 学员
加入时间: 2004/02/20
文章: 1232
海归分: 168152
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作者：wanderer 在 海归商务 发贴, 来自【海归网】 http://www.haiguinet.com
Xujia "Jennifer" Wang (王旭佳), age 31, is married to Chen and resides with him in Queens, New York. Since August 29, 2005, Wang has been employed by Morgan Stanley, a registered broker-dealer, as Vice-President and manager of the Securitized Product Group, in a group referred to as the Valuation Review sub-department, which itself was a sub-department of the Financial Control department in Morgan Stanley’s Finance Division (“Valuation Review Group”). She is currently on disability leave pending the birth of her child. On March 14, 2007, Wang refused Morgan Stanley’s request to cooperate with its internal investigation, and alerted the company of her intention not to return to work following the birth of her child. Wang owns a second residence with Chen in Englishtown, New Jersey.
Ruopian "Ruben" Chen (陈若翩), age 34, currently resides with Wang in Queens, New York, in an apartment that has been listed for sale. From approximately July 18, 2005, until March 14, 2007, Chen was employed by ING Investment Management(“ING”) in New York, New York, as a Vice-President of the Fund of Funds Department and the head of relative value hedge fund strategies. In this role, he was associated with a subsidiary of ING, ING Alternative Asset Management LLC, which is a registered investment adviser. On March 14, 2007, Chen resigned from ING after refusing the company’s request that he cooperate with the firm’s internal investigation of his trading. Chen owns a second residence in Englishtown, New Jersey.
The Commission's complaint alleges that Chen and Wang funded and exercised control over Feng's (Wang's mother) online brokerage accounts. When Feng's first brokerage account was opened, it was funded with money from a checking account in Wang and Chen's name. In addition, Feng, who lives in Beijing, China, did not access the two online brokerage accounts that were opened in her name on the days of the relevant trading. Rather, most of the logins to the brokerage accounts were from Internet Protocol addresses at ING and from Chen and Wang's home in New Jersey...
SEC的complaint全文：
https://www.sec.gov/litigation/complaints/2007/comp20112.pdf
作者：wanderer 在 海归商务 发贴, 来自【海归网】 http://www.haiguinet.com
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