美内幕交易案情节堪比007
美国联邦有关部门扩大了打击内幕交易的范围，侦破了一个有着007电影元素的阴谋网络，包括大包大包的钞票、一次性手机、一个绰号“八爪女”的头目和一个名叫“希腊人”的同伙。
Federal authorities widened their crackdown on insider trading, uncovering an alleged network of conspirators with elements of a James Bond movie, including packages of money, throwaway cell phones, a ringmaster nicknamed 'Octopussy' and an associate called 'the Greek.'
在纽约一个联邦法院提交的一份24页刑事起诉书中，公诉人称有14人参与了一个内幕交易团伙，非法获利2,000万美元。据称该团伙包括数名对冲基金交易员、两名律师和一家信用评级公司的一名前初级分析师。
In a 24-page criminal complaint filed in a New York federal court, prosecutors alleged that 14 individuals were part of an insider-trading group that generated $20 million in illegal profits. The group allegedly included several hedge-fund traders, two lawyers and a former junior analyst at a credit-rating firm.
这些起诉标志着对华尔街、硅谷等地的内幕交易正在进行的刑事和民事调查大幅扩大，是数十年来打击范围最广的内幕交易案。上个月，对冲基金巨头、盖伦集团(Galleon Group)创始人拉贾拉特南(Raj Rajaratnam)等6人被起诉。拉贾拉特南等人被控非法获利2,000万美元，不过他们都否认有任何违法行为。
The charges mark a significant broadening of ongoing criminal and civil investigations into alleged insider trading on Wall Street, in Silicon Valley and elsewhere -- the most sweeping insider-trading case in decades. Last month, charges were filed against hedge-fund tycoon Raj Rajaratnam, founder of Galleon Group, and five others. Mr. Rajaratnam and his co-defendants, who were accused of reaping $20 million in illegal profits, have denied wrongdoing.
周四被起诉的人中有一些与盖伦案有关。在起诉书中，联邦有关部门称曾在盖伦集团和对冲基金肖顿福尔德集团(Schottenfeld Group)做过交易员的高佛尔(Zvi Goffer)是一个团伙的核心人物，该团伙包括他的兄弟、Ropes & Gray LLP律师事务所的一名律师，以及另外6名交易员和对冲基金经理。
Some of the individuals charged Thursday moved in the same circle. In the complaint, the U.S. alleged that Zvi Goffer, a former trader at Galleon and the hedge fund Schottenfeld Group, was the central figure in a ring that included his brother, a lawyer at the firm Ropes & Gray LLP, and six other traders and hedge-fund managers.
美国曼哈顿地区联邦检察官巴拉拉(Preet Bharara)在宣布起诉的新闻发布会上说，内部人员随意违反公司保密规定……是对我们的制度的嘲讽。美国证券交易委员会(SEC)提起了附带民事诉讼。
'The casual betrayal of corporate secrets by insiders . . . makes a mockery of our system,' said Preet Bharara, the Manhattan U.S. attorney, at a news conference announcing the charges. A related civil case was filed by the Securities and Exchange Commission.
高佛尔及其兄弟的律师均拒绝置评。肖顿福尔德集团创始人、高佛尔的前雇主肖顿福尔德(Rick Schottenfeld)说，我们对高佛尔受到刑事起诉深感不安和震惊。他还说，此案没有提到该集团的任何现职员工，并且说该公司正在与有关部门合作。高佛尔现年32岁。
A lawyer for Mr. Goffer, who is 32 years old, declined to comment, as did a lawyer for his brother. Rick Schottenfeld, founder of Schottenfeld Group, Mr. Goffer's former employer, said: 'We are deeply troubled and shocked by the criminal allegations' against Mr. Goffer. He added that no current Schottenfeld employees have been named in the case, and said the firm is cooperating with authorities.
周四被起诉的人中有5个已经认罪，并且正协助公诉人立案，包括3名交易员──肯恩(Roomy Khan)、C.B. Lee和法尔(Ali Far)。《华尔街日报》在此前的报导中指出这3人是调查中的合作证人。
Five of those charged Thursday already have pleaded guilty and are helping prosecutors build a case, including three traders -- Roomy Khan, C.B. Lee and Ali Far -- previously identified by The Wall Street Journal as cooperating witnesses in the investigation.
政府称，这个与高佛尔有关的团伙利用非公开信息交易Avaya Inc.、3Com Corp.、Alliance Data Systems Corp.和Axcan Pharma Inc.的股票。起诉书中说，这些信息包括33岁的卡提罗(Arthur Cutillo)提供的有关这些公司的收购公告。卡提罗是总部位于波士顿的律师事务所Ropes & Gray纽约办公室的职员。
The government alleges that the group affiliated with Mr. Goffer used nonpublic information to trade stocks of Avaya Inc., 3Com Corp., Alliance Data Systems Corp. and Axcan Pharma Inc. The complaint says the information included tips supplied by Arthur Cutillo, 33, an associate in the New York office of Boston-based Ropes & Gray, about buyout announcements involving those companies.
起诉书中说，布鲁克林律师高尔德法伯(Jason Goldfarb)是卡提罗和高佛尔的中间人。据称被告利用一次性手机相互传递信息。卡提罗和高尔德法伯的律师都拒绝置评。
Jason Goldfarb, a Brooklyn lawyer, served as the intermediary between Messrs. Cutillo and Goffer, the complaint says. The defendants allegedly used disposable cellphones to relay the information to one another. Lawyers for Messrs. Cutillo and Goldfarb declined to comment.
Ropes & Gray发言人说，公司得知情况后非常失望，该案显示出此人严重违反了对我们的客户和公司的诚信义务。他说，公司正在协助调查。
A Ropes & Gray spokesman said the firm was 'deeply disappointed to learn about this situation, which suggests an extreme breach of this person's duty of trust to our clients and to the firm.' He said the firm was cooperating with the investigation.
起诉书中说，高佛尔被团伙中的一些人称为“八爪女”，因为他的手臂伸到了那么多的内幕消息来源中。“八爪女”是1983年出品的007电影的片名。
Mr. Goffer was referred to by some people in the alleged ring as Octopussy because he 'had arms in so many sources of inside information,' the complaint says. 'Octopussy' is the title of a 1983 James Bond film.
起诉书说，在被联邦探员录下的一次电话交谈中，高佛尔显然在担心一桩交易可能会引来关注，而对一名被控与其同谋的人说，有人将蹲监狱，直接蹲监狱，所以别让你成为这个人。
In one phone conversation recorded by federal agents, Mr. Goffer, apparently worried that a trade might attract attention, told one of his alleged co-conspirators: 'Someone's going to jail, going directly to jail, so don't let it be you,' according to the complaint.
政府指控说，这些被告知道3Com公司即将被收购，他们在2007年8月购买了这家电脑网络公司的股票。
The government alleges that the defendants had knowledge of a pending acquisition of 3Com and bought shares of the computer-networking company in August 2007.
起诉书指控说，在贝恩资本（Bain Capital）于2007年9月宣布了收购3Com的计划后，高佛尔将一部一次性使用手机折成两半，并咬断了这部手机的SIM卡，并告知一个身份不明的“内幕消息获得者”处理掉这部手机的另一半。
After Bain Capital announced its plans to buy 3Com in September 2007, the complaint alleges, Mr. Goffer broke a disposable cellphone in half and bit its 'SIM' computer-chip before telling an unidentified 'tippee' to dispose of the other half of the phone.
起诉书说，今年8月，一位佩带了监听装置的政府线人曾要求高佛尔指认一名被控向他提供内幕消息的人。高佛尔此前曾说此人“在建筑业工作”。起诉书称，高佛尔拒绝详谈此人，并告诉这名线人，他还是不知道的为好，以防政府的什么人会问起他。
In August, a government informant, wearing a wire, pushed Mr. Goffer to identify one of his alleged tipsters, whom Mr. Goffer had described earlier as 'a guy in the construction business,' the complaint says. Mr. Goffer declined to elaborate, according to the complaint, telling the informant it was better for him not to know in case someone from the government were ever to ask.
起诉书说，高佛尔兄弟讨论了用一次性手机给某个他们称之为“希腊人”的人打电话的事。这个人的身份无法确定。
The Goffer brothers discussed using the disposable cellphones to call someone they called 'the Greek,' the complaint says. His identity couldn't be determined.
高佛尔是纽约市居民，他曾在肖顿福尔德集团和盖伦集团任交易员，后来又创办了自己的交易公司Incremental Capital。
Mr. Goffer, a New York City resident, had worked as a trader at Schottenfeld and Galleon before starting his own trading firm, Incremental Capital.
起诉书说，Ropes & Gray的卡提罗至少就四宗该公司担任顾问的并购交易向高尔德法伯传递过信息，其中包括涉及3Com和Axcam的交易。起诉书说，Ropes & Gray在这些交易中代表Silver Lake Parters、TPG Capital和贝恩资本等收购方的利益。
The complaint says Mr. Cutillo of Ropes & Gray passed information to Mr. Goldfarb about at least four mergers on which Ropes & Gray was an adviser, including deals involving 3Com and Axcam. Ropes & Gray represented buyout firms including Silver Lake Parters, TPG Capital and Bain Capital Partners, the complaint says.
政府指控说，在3Com公司收购案中，Ropes & Gray于2007年7月28日致信3Com，说明贝恩资本有兴趣收购它。
In the 3Com case, the government alleges that on July 28, 2007, Ropes & Gray sent a letter to 3Com indicating Bain Capital's interest in acquiring the company.
起诉书说，在8月6日晚间，卡提罗给高尔德法伯打了6次电话，向他传递了有关3Com收购案的信息。起诉书还说，当天夜晚，高尔德法伯又将这些信息传递给了高佛尔，后者随后给自己31岁的弟弟伊曼纽尔打了电话。伊曼纽尔次日开始购买3Com的股票。
On the evening of Aug. 6, the complaint says, Mr. Cutillo called Mr. Goldfarb six times, passing on information about the 3Com acquisition. That same night, Mr. Goldfarb passed on the information to Mr. Goffer, who then called his younger brother, Emanuel, 31, who began buying 3Com shares the following day, according to the complaint.
接下来的几天中，高佛尔又将3Com收购案的消息传递给了其他几名被告。起诉书说，这些人通过各自的交易获得的非法利润在212,541美元至将近500万美元不等。
Over the next few days, the older Mr. Goffer allegedly passed the 3Com tip to other defendants. Members of the group reaped illegal profits on their individual trades ranging from $212,541 to nearly $5 million, according to the complaint.
贝恩资本和中国的华为技术有限公司拟收购3Com的这桩交易，后因美国政府一个安全委员会的反对于2008年3月被迫放弃。
The 3Com deal, in which Bain Capital and China's Huawei Technologies Co. had proposed buying the company, was abandoned in March 2008 due to opposition from a U.S. government security panel.
起诉书说，本案被告──交易员德里摩尔(Craig Drimal)在被联邦探员录下的一次电话交谈中对高佛尔说，另外一个人“手中也有闲钱”，他想“照顾我”。德里摩尔被控在Axcam的交易上非法获利200万美元。他的律师拒绝就此发表评论。
One defendant, trader Craig Drimal -- who allegedly made $2 million in illegal profit on the Axcan deal -- said to Mr. Goffer in a phone call recorded by federal agents that another individual had 'some cash lying around' and is 'going to take care of me,' according to the complaint. A lawyer for Mr. Drimal declined to comment.
起诉书说，在另外一次电话交谈中，德里摩尔和高佛尔约定在曼哈顿的上东区会面。联邦调查局(FBI)的探员指称，在通话次日的下午2点左右，他们看到德里摩尔来到曼哈顿第一大道和第63街的交汇处，这里距高佛尔的住宅不远。起诉书说，联邦探员们看到高佛尔上了德里摩尔的汽车，下车时拿了一个“家用录像带大小的东西”，FBI认为那里面装满了现金。
In another call, Messrs. Drimal and Goffer agreed to meet on Manhattan's Upper East Side, the complaint says. At about 2 p.m. the following day, Federal Bureau of Investigation agents allegedly observed Mr. Drimal arriving at the corner of First Avenue and 63rd Street in Manhattan, near Mr. Goffer's residence. According to the complaint, they saw Mr. Goffer get into the car, then exit the car carrying 'an item the size of the VHS tape,' which the FBI believed was filled with cash.
当天下午5:30，联邦探员们看到高佛尔驱车前往高尔德法伯的家，拿着一个白色袋子进了那幢建筑。探员们相信袋子里装满了现金。
At 5:30 that afternoon, agents saw Mr. Goffer drive to the home of Mr. Goldfarb, where he entered the building carrying a white bag that the agents believe was filled with cash.
