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Criminal Complaint Against Expert Networks Executive Don Chu

Criminal Complaint Against Expert Networks Executive Don Chu

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Published by Robert Wenzel

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Categories:Types, Business/Law
Published by: Robert Wenzel on Nov 24, 2010
Copyright:Attribution Non-commercial

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11/24/2010

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Approved:
ANTONIA APPSDAVID LEIBOWITZ
Assistant
united
States
Attorneys
ANDREW
MICHAELSON
Special
Assistant
United
States
Attorney
Before:
HONORABLETHEODORE
H.
KATZ
United
States
Magistrate
Judge
Southern
District
of
New
York
UNITED STATES
OF
AMERICA
-v.
-
DON
CHING
TRANG
CHU,
a/k/a
"Don
Chu,"
Defendant.
---
-x
-----------------
-X
SOUTHERN
DISTRICT
OF
NEW
YORK,
ss.:
SEALED COMPLAINT
Violations
of
Title
18,
United
States
Code,
Sections
371
and
1349
COUNTY
OF
OFFENSE:
NEW
YORK
B.
J.
KANG,
being
duly
sworn,
deposes
and
says
that
he
is
a
Special
Agent
of the Federal
Bureau
of
Investigation
("FBI")
,
and
charges
as
follows:
COUNT
ONE
(Conspiracy
to
Commit
Securities
Fraud)
1.
From
at least
in
or
aboutJanuary
2009
through
in
or
about
August
2009,
in
the
Southern
District
of
New
York
and
elsewhere,
DON
CHING
TRANG
CHU,
a/k/a
"Don
Chu,"
thedefendant,
and
others
known
and
unknown,
unlawfully,
willfully,
andknowingly
combined,
conspired, confederated,
and
agreed
together
and
with
each
otherto
commit
offenses
against
the
United
States
of
America,
to
wit,
securities
fraud,
in violation
of
Title
IS,
United
States
Code,
Section
78j
(b)
and
78ff,
and
Title
17,
Code
of Federal Regulations,
Sections
240.10b
5
and
240.10b5-2.
-1-
 
2.
It
was
a
part
and
an
object
of
the
conspiracy
that
DON
CHING
TRANG CHU!
a/k/a
"Don
Chu!1I
the
defendant!
and
others
known
and
unknown!
unlawfully!
willfully!
and
knowingly!
directly
and
indirectly!
by
the
use
of
the
means
and
instrumentalities
of
interstate
commerce!
and
of
the
mails!
and
of
facilities
of
national
securities
exchanges!
would
and
did
use
and
employ!
in
connection with
the
purchase
and
sale
of
securities!
manipulative
and
deceptive devices
and
contrivances
in
violation
of
Title
17,
Code
of Federal
Regulations,
Section
240.10b-5
by:
(a)
employing
devices,
schemes
and
artifices
to
defraud;
(b)
making
untrue statements
of
material
fact
and
omitting
to
state
material
facts
necessary
in
order to
make
the
statements
made!
in
the
light
of
the
circumstances
under
which
they
were
made,
not misleading;
and
(c)
engaging
in
acts!
practices
and
courses
of
business
which
operated
and
would
operate
as
a
fraud
and
deceit
upon
persons!
all
in violation
of
Title
15,
United
States
Code!
Sections
78j
(b)
and
78ff!
and
Title
17,
Code
of
Federal
Regulations!
Sections
240.10b-5
and
240.10b5-2.
Overt
Acts
3.
In
furtherance
of
the
conspiracy
and
to
effect
the
illegal
objects
thereof! the
following
overt
acts!
among
others,
were
committed
in
the
Southern
District
of
New
York
and
elsewhere:
a.
On
or
about
July
20,
2009!
at
approximately
4:57
p.m.,
CHU
sent
an
email
message
to
arrange
a
telephone
consultation
on
behalf
of
his
employer
with
a
co-conspirator
not
named
herein
("CC-111)
who
was
an
employee
of
a
technology
company
("the
Tech
Companyll)
,
which
company
listed
its
shares
for trading
on
the
New
York
Stock
Exchange
in
New
York,
New
Yorki
b.
On
or
about
July
21,
2009,
CC-1
had
two
telephone
conversations
with
a
cooperating
witness
("CW-1"),
during
which
CC-1
provided
material
non-public
information
to
CW-1
about
the
Tech
Company,
in
breach
of
fiduciary
and
otherduties
of
confidentiality
owed
by
CC-1
to
the
Tech
CompanYi
c.
On
or
about
August
4!
2009,
CHU
and
CW-1
discussedthe
July
21, 2009,
telephone
call
between
CC-1
and
CW-
1i
-2-
 
d.
On
or
about
August
28,
2009,
at
approximately
8:48
p.m.,
CHU
spoke
on
the
telephone with
CW-1
and
discussed
facilitating
additional
consultations
between
CW-1
and
certain
employees
of
other publicly-traded
companies
for
purposes
of
facilitating
CW-1's
trading
in
the
securities
of
those
companies.
(Title
18,
United
States
Code,
Section
371.)
COUNT
TWO
(Conspiracy
to
Commit
Wire
Fraud
and
Fraud
in
Connection
With
Securities)
4.
From
at leastin
or
about
January
2009
through
in
or
about
August
2009,
in
the
Southern
District
of
New
York
and
elsewhere,
DON
CHING
TRANG CHU!
a/k/a
"Don
Chu!1I
the
defendant!
and
others
known
and
unknown!
unlawfully!
willfully,
andknowingly
combined!
conspired!confederated!
and
agreed
together
and
with
each
other
to
commit
offenses
against
the
United
States
of
America,
to
wit,
wire
fraud,
in
violation
of
Title
18,
United
States
Code,
Section
1343,
and
fraud
in
connection with
securities,
in
violation
of
Title
18,
United
States
Code,
Section
1348.5.
It
was
a
part
and
an
object
of
the
conspiracy
that
DON
CHING
TRANG
CHU/
a/k/a
"Don
Chu,"
the
defendant!
and
others
known
and
unknown,
unlawfullYI
willfully,
and knowingly;
having
devised
and
intending
to
devise
a
scheme
and
artifice
to
defraud,
and
for
obtaining
money
and
property
by
means
of
false
and
fraudulent
pretenses,representations,
and
promises!
would
and
did
transmit
and
cause
to
be
transmitted
by
means
of
wire
communication
in
interstate
commerce
writings, signs,
signals,pictures
and
sounds
for
the
purpose
of
executing
such
scheme
and
artifice,
in
violation
of
Title
18,
United
States
Code,
Section
1343.6.
It
was
a
further
part
and
object
of
theconspiracy
that
DON
CHING
TRANG
CHU,
a/k/a
"Don
Chu,'!
the
defendant!
and
others
known
and
unknown,
unlawfully,
willfully,
and knowingly,
having
executed
a
scheme
and
artifice
(a)
to
defraud
any
person
in
connection
with
any
security
of
an
issuer
with
a
class
of
securities
registered
under
section
12
of
the
Securities
and
Exchange
Act
of
1934
(15
U.S.C.
§
781)
and
that
is
required to
file
reports
under
section
15(d)
of
the
-3-

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