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.
華盛頓特區--（Newsfile Corp.，2024年5月10日）——美國證券交易委員會今天指控賓夕法尼亞州吉布索尼亞居民小弗蘭克·波里奧進行內幕交易，罪名是挪用有關迪克體育用品公司的材料和非公開信息，並利用該信息進行交易，實現了超過80萬美元的非法利潤。
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.
根據美國證券交易委員會的投訴，在2019年11月至2021年5月期間，Poerio認識了迪克的一名員工，該員工可以訪問有關公司財務業績的多個重要非公開信息的內部來源。美國證券交易委員會稱，Poerio經常要求員工提供公司業績的最新情況，有時，該員工的回應是公司 “表現良好”，並要求Poerio不要交易迪克的證券。美國證券交易委員會稱，Poerio了解到這些聲明是基於員工獲得非公開財務信息的途徑以及對公司即將發佈的季度收入數據的預覽。Poerio利用這些信息來交易迪克的證券，這違反了他對員工的信任和信心義務。
"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."
美國證券交易委員會執法司副董事馬克·凱夫說：“我們指控Poerio利用了與他關係密切的人的信任，向該人提供信息，然後無視他一再提出的不使用該信息進行交易的要求。”“今天的指控表明，美國證券交易委員會有能力發現並起訴那些試圖從內幕交易中獲利的人。”
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.
美國證券交易委員會向美國賓夕法尼亞西區地方法院提起的申訴，指控波里奧違反了1934年《證券交易法》第10（b）條及其第10b-5條。波里奧沒有否認美國證券交易委員會申訴的指控，但同意達成和解，永久禁止他違反聯邦證券法的指控條款，並命令他支付罰款、判決前利息和民事罰款，金額將由法院決定。該和解須經法院批准。
In a parallel action, the U.S. Attorney's Office for the Western District of Pennsylvania today announced criminal charges against Poerio.
在一項平行行動中，美國賓夕法尼亞西區檢察官辦公室今天宣佈了對波里奧的刑事指控。
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.
美國證券交易委員會的調查由傑森·利托在布萊恩·舒特、馬克斯·克拉克、史蒂夫·拉普金、德里克·本森和詹姆斯·卡爾森的協助下進行，由凱文·格雷羅、史黛西·博格特和凱夫先生監督。美國證券交易委員會感謝美國賓夕法尼亞西區檢察官辦公室和聯邦調查局的協助。
譯文內容由第三人軟體翻譯。