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2025-11-13 21:34 本頁(yè)面
【正文】 附 錄 附錄 A SEC Charges Former NASDAQ Managing Director with Insider Trading The SEC alleges that Donald L. Johnson traded in advance of such public announcements as corporate leadership changes, earnings reports and forecasts, and regulatory approvals of new pharmaceutical products. He often placed the illegal trades directly from his work puter through an online brokerage account in his wife39。s name. Johnson obtained illicit trading profits of more than $755,000 during a threeyear period. Johnson also has been charged in a parallel criminal action announced by the US Department of Justice today. According to the Sac’s plaint filed in US District Court for the Southern District of New York, Johnson illegally traded in advance of nine announcements involving NASDAQlisted panies from August 2020 to July 2020. According to the Sac’s plaint filed in US District Court for the Southern District of New York, Johnson illegally traded in advance of nine announcements involving NASDAQlisted panies from August 2020 to July 2020. Johnson took advantage of both favorable and unfavorable information that was entrusted to him in confidence by NASDAQ and its listed pany clients, shorting stocks on several occasions and establishing long positions in other instances. Johnson lives in Ashburn, Va., and worked in various positions for the NASD and NASDAQ for 20 years until his retirement from NASDAQ in September 2020. The SEC alleges that Johnson had frequent and significant interactions with senior executives of NASDAQlisted issuers, including CEOs, CFOs, and investor relations officers at his assigned panies. He then transferred to the Market Intelligence Desk, a specialized department within the CCG that provides issuers with general market updates, overviews of their pany39。s sector, and mentary regarding the factors influencing daytoday trading activity in their stocks. The SEC alleges tha
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