Welcome to Scribd, the world's digital library. Read, publish, and share books and documents. See more
Download
Standard view
Full view
of .
Look up keyword
Like this
4Activity
0 of .
Results for:
No results containing your search query
P. 1
Criminal Charges Against Stanley Ng

Criminal Charges Against Stanley Ng

Ratings: (0)|Views: 5,319 |Likes:
Published by DealBook
Criminal charges against Stanley Ng in an insider trading case.
Criminal charges against Stanley Ng in an insider trading case.

More info:

Published by: DealBook on Dec 07, 2011
Copyright:Attribution Non-commercial

Availability:

Read on Scribd mobile: iPhone, iPad and Android.
download as PDF, TXT or read online from Scribd
See more
See less

08/22/2014

pdf

text

original

 
UNITEDSTATESDISTRICTCOURTSOUTHERNDISTRICTOFNEWYORK
--------------x
UNITEDSTATESOFAMERICA
-v.-
INFORMATIONSTANLEYNG,S411Cr.161(JSR)Defendant.
--------------x
COUNT
ONE
(ConspiracytoCommitWireFraudandSecuritiesFraud)TheunitedStatesAttorneycharges:Relevant
EntitiesandIndividuals
1.AtalltimesrelevanttothisInformation,NVIDIACorporation("NVIDIA")wasatechnologycompanyheadquarteredinSantaClara,California,anditssharesweretradedontheNasdaqStockExchange(tickersymbol:NVDA).
2.
AtalltimesrelevanttothisInformation,MarvellTechnologyGroup,Ltd.("Marvell")wasatechnologycompanyheadquarteredinSantaClara,California,anditssharesweretradedontheNasdaqStockExchange(tickersymbol:MRVL).3.AtalltimesrelevanttothisInformation,STANLEYNG,thedefendant,wasemployedintheFinanceDepartmentofMarvellastheSECReportingManager.4.AtalltimesrelevanttothisInformation,SonNgocNguyen,a/k/a"Sonny,"servedasaSeniorFinancialAnalystatNVIDIA.
 
5.AtalltimesrelevanttothisInformation,WinifredJiau,a/k/a"Wini,"servedasapaidconsultantforanexpertnetworkingfirminMountainView,California(the"Firm").UnlikemostotherconsultantsattheFirm,JiauwaslistedontheFirm's"privatenetwork,"meaningthatconsultationswithJiauwerelimitedtocertainclientsoftheFirm.Inaddition,frominoraboutMarch2007throughinoraboutNovember2007,JiauwasemployedinthefinancedepartmentofNVIDIAasacontractemployee.TheWireFraudandInsiderTrading
Scheme
6.Fromatleastinorabout2007throughinoraboutearly2009,STANLEYNG,thedefendant,Jiau,Nguyen,andothersknownandunknown,participatedinaschemetodefraudcompaniesofmaterial,nonpublicinformation(the"InsideInformation").NGandNguyenagreedtoprovideJiauwithInsideInformationaboutMarvellandNVIDIA,respectively.Inexchange,JiauagreedtoprovideNGandNguyenwithstocktipsthatJiaulearnedfromothercontactsshehadatvariouscompanies.NGandNguyenagreedtoprovideInsideInformationtoJiauinviolationoffiduciaryandotherdutiesoftrustandconfidenceNGandNguyenowedtotheirrespectiveemployersandtheshareholdersofthosecompanies.
2
 
7.Specifically,inconnectionwiththescheme,STANLEYNG,thedefendant,providedJiauwithInsideInformationregardingMarvell'squarterlyfinancialresultsbeforesuchresultswereannouncedpubliclybyMarvell,inviolationofthedutiesoftrustandconfidenceNGowedtoMarvellandMarvell'sshareholders.
TheConspiracy
8.Frominorabout2007throughinoraboutearly2009,intheSouthernDistrictofNewYorkandelsewhere,STANLEYNG,thedefendant,Jiau,Nguyen,andothersknownandunknown,willfullyandknowinglydidcombine,conspire,confederateandagreetogetherandwitheachothertocommitoffensesagainsttheUnitedStates,towit:(1)tocommitwirefraud,inviolationofTitle18,UnitedStatesCode,Section1343;and(2)tocommitsecuritiesfraud,inviolationofTitle15,UnitedStatesCode,Sections78j(b)and78ff,andTitle17,CodeofFederalRegulations,Section240.10b-5.
ObjectsoftheConspiracy
9.ItwasapartandobjectoftheconspiracythatSTANLEYNG,thedefendant,Jiau,Nguyen,andothersknownandunknown,willfullyandknowingly,havingdevisedandintendingtodeviseaschemeandartificetodefraudandforobtainingmoneyandpropertybymeansoffalseandfraudulentpretenses,representations,andpromises,wouldanddidtransmitandcauseto
3

Activity (4)

You've already reviewed this. Edit your review.
1 thousand reads
1 hundred reads

You're Reading a Free Preview

Download
scribd
/*********** DO NOT ALTER ANYTHING BELOW THIS LINE ! ************/ var s_code=s.t();if(s_code)document.write(s_code)//-->