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美国证监会出手严惩某支付公司CEO和CFO

来源:继民财经汇微信公众号   发布时间:2019-04-05  作者:继民财经汇   编辑:无忧草

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核心提示:SEC指控硅谷一家私人移动支付公司Jumio Inc.前CEO 诈骗投资者,前首席财务官查德·斯塔基没有对财务报表采取合理的谨慎态度。

2019年4月2日美国证券交易委员会今天指控硅谷一家私人移动支付公司Jumio Inc.前CEO 诈骗投资者。前首席执行官丹尼尔·马特斯同意支付超过1700万美元来支付这些和解费用

根据美国证交会向加州联邦法院提出的诉状,马特斯严重夸大了Jumio 2013年和2014年的收入,然后将他个人持有的股票出售给私人二级市场的投资者。申诉称,被告出售Jumio 股份赚了约1,400万美元,并向Jumio 董事会隐瞒了这些销售。根据诉状马特斯还错误地告诉一位投资者,他不想出售他的任何股票,因为“有很多伟大的东西即将到来”。

Jumio 在2015年重述了其财务业绩,抹去了大部分收入,这些股票在2016年申请破产后变得毫无价值。

美国证交会旧金山办事处副区主任艾琳·施奈德说:“通过对Jumio 的财务业绩虚假,以牺牲投资者的利益为代价,致富。”公司高管必须向投资者提供准确的信息,无论其公司是公开交易还是私人交易。

美国证交会还处理了对Jumio 前首席财务官查德·斯塔基的另一项诉讼,因为他没有对Jumio 的财务报表采取合理的谨慎态度,并签署了虚假暗示Jumio 董事会批准的股票转让协议销售。Starkey 签订了一项合作协议,以协助SEC。Starkey 在2014年出售了自己的部分股票,他将支付约42万美元的罚金和预先判断利息。

在不承认或否认这些指控的情况下,马特斯已同意被禁止今后发生类似的违法行为,并被禁止担任美国一家上市公司的高管或董事。并将支付超过1600万美元的和预先判断的利息加上640,000美元的罚款。该和解须经法院批准。

美国证交会的调查由鲁思·霍利、克里斯蒂娜·菲利普和克里斯特尔·布多奥进行,并由旧金山地区办事处的杰里米·彭德雷监督。

SEC Charges Former CEO of Silicon Valley Startup With Defrauding Investors

FOR IMMEDIATE RELEASE

2019-50

Washington D.C.,April 2,2019—

The Securities and Exchange Commission today charged the founder and former chief executive of a Silicon Valley startup with defrauding investors in Jumio Inc.,a private mobile payments company.The former CEO,Daniel Mattes,agreed to pay more than $17million to settle the charges.

According to the SEC’s complaint,filed in federal court in California,Mattes grossly overstated Jumio’s 2013and 2014revenues and then sold shares he held personally to investors in the private,secondary market.The complaint alleges that Mattes made approximately $14million by selling his Jumio shares and hid these sales from Jumio’s board.According to the complaint,Mattes also falsely told an investor that he didn’t want to sell any of his shares because there was “lots of great stuff coming up,”and that “he’d be stupid to sell at this point.”Jumio restated its financial results in 2015,wiping out most of its revenue,and the shares became worthless after it filed for bankruptcy in 2016.

“Mattes enriched himself at investors’expense by making false claims about Jumio’s financial results,”said Erin Schneider,Associate Regional Director for the SEC’s San Francisco office.“Company executives must provide investors with accurate information irrespective of whether their companies are publicly or privately traded.”

The SEC settled a separate proceeding against Jumio’s former CFO Chad Starkey for failing to exercise reasonable care concerning Jumio’s financial statements and signing stock transfer agreements that falsely implied that Jumio’s board of directors had approved Mattes’sales.Starkey entered into a cooperation agreement to assist the SEC.Starkey,who sold some of his own shares in 2014,will pay approximately $420,000in disgorgement and prejudgment interest.

Without admitting or denying the allegations,Mattes,an Austrian citizen who now heads a private Austria-based company,has agreed to be enjoined from future similar violations and barred from being an officer or director of a publicly traded company in the U.S.,and will pay more than $16million in disgorgement and prejudgment interest plus a $640,000penalty.The settlement is subject to court approval.

The SEC’s investigation was conducted by Ruth Hawley,Christina Filipp,and Crystal Boodoo,and supervised by Jeremy Pendrey of the San Francisco Regional Office.

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