SEC Charges Pennsylvania Resident With Insider Trading in Dick's Sporting Goods Securities
SEC Charges Pennsylvania Resident With Insider Trading in Dick's Sporting Goods Securities
Washington, D.C.--(Newsfile Corp. - May 10, 2024) - The Securities and Exchange Commission today charged Gibsonia, PA resident Frank T. Poerio, Jr. with insider trading for misappropriating material, nonpublic information concerning Dick's Sporting Goods Inc. and trading on that information, realizing illegal profits of more than $800,000.
华盛顿特区--（Newsfile Corp.，2024年5月10日）——美国证券交易委员会今天指控宾夕法尼亚州吉布索尼亚居民小弗兰克·波里奥进行内幕交易，罪名是挪用有关迪克体育用品公司的材料和非公开信息，并利用该信息进行交易，实现了超过80万美元的非法利润。
According to the SEC's complaint, between November 2019 and May 2021, Poerio knew a Dick's employee who had access to multiple internal sources of material nonpublic information about the company's financial results. The SEC alleges that Poerio frequently asked the employee for updates on the company's performance, and, at times, the employee responded with statements to the effect that the company was "doing very well," coupled with requests that Poerio not trade in Dick's securities. The SEC alleges that Poerio understood that these statements were based on the employee's access to nonpublic financial information and previews of the company's upcoming quarterly revenue figures. Poerio used this information to trade in Dick's securities, in breach of his duty of trust and confidence to the employee.
根据美国证券交易委员会的投诉，在2019年11月至2021年5月期间，Poerio认识了迪克的一名员工，该员工可以访问有关公司财务业绩的多个重要非公开信息的内部来源。美国证券交易委员会称，Poerio经常要求员工提供公司业绩的最新情况，有时，该员工的回应是公司 “表现良好”，并要求Poerio不要交易迪克的证券。美国证券交易委员会称，Poerio了解到这些声明是基于员工获得非公开财务信息的途径以及对公司即将发布的季度收入数据的预览。Poerio利用这些信息来交易迪克的证券，这违反了他对员工的信任和信心义务。
"We allege that Poerio exploited the trust of someone close to him by pumping that person for information and then ignoring his repeated requests not to trade on that information," said Mark Cave, Associate Director of the SEC's Division of Enforcement. "Today's charges showcase the SEC's ability to detect and charge those who seek to profit off insider trading."
美国证券交易委员会执法司副董事马克·凯夫说：“我们指控Poerio利用了与他关系密切的人的信任，向该人提供信息，然后无视他一再提出的不使用该信息进行交易的要求。”“今天的指控表明，美国证券交易委员会有能力发现并起诉那些试图从内幕交易中获利的人。”
The SEC's complaint, filed in U.S. District Court for the Western District of Pennsylvania, charges Poerio with violating Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. Without denying the allegations of the SEC's complaint, Poerio agreed to a settlement that permanently enjoins him from violating the charged provisions of the federal securities laws and orders him to pay disgorgement, prejudgment interest, and a civil money penalty in amounts to be determined by the Court. The settlement is subject to the Court's approval.
美国证券交易委员会向美国宾夕法尼亚西区地方法院提起的申诉，指控波里奥违反了1934年《证券交易法》第10（b）条及其第10b-5条。波里奥没有否认美国证券交易委员会申诉的指控，但同意达成和解，永久禁止他违反联邦证券法的指控条款，并命令他支付罚款、判决前利息和民事罚款，金额将由法院决定。该和解须经法院批准。
In a parallel action, the U.S. Attorney's Office for the Western District of Pennsylvania today announced criminal charges against Poerio.
在一项平行行动中，美国宾夕法尼亚西区检察官办公室今天宣布了对波里奥的刑事指控。
The SEC's investigation was conducted by Jason Litow, with assistance from Brian Shute, Max Clarke, Steve Rapkin, Derek Bentsen, and James Carlson, under the supervision of Kevin Guerrero, Stacy Bogert, and Mr. Cave. The SEC appreciates the assistance of the U.S. Attorney's Office for the Western District of Pennsylvania and the FBI.
美国证券交易委员会的调查由杰森·利托在布莱恩·舒特、马克斯·克拉克、史蒂夫·拉普金、德里克·本森和詹姆斯·卡尔森的协助下进行，由凯文·格雷罗、史黛西·博格特和凯夫先生监督。美国证券交易委员会感谢美国宾夕法尼亚西区检察官办公室和联邦调查局的协助。
译文内容由第三方软件翻译。