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非法出售区块链初创公司股票?SEC绝不手软

据报道,美国证券交易委员会(SEC)于本周一指控律师T.J.Jesky和商务经理Mark F. DeStefano两人非法出售香港区块链初创公司UBI Blockchain Internet的股票,并获利大约140万美元。SEC执法部门网络负责人Robert A. Cohen表示,此案是一个典型的事例,也是美国证监会警告个人投资者应谨慎购买突然声称拥有区块链业务的公司股票的原因。

Jesky和DeStefano拒绝回应这项指控,但确实同意返还约140万美元并缴纳18.8682万美元罚款。去年10月,两人获得了7.2万股UBI Blockchain的限制性股票。其中,T.J. Jesky担任UBI的律师,Mark F. DeStafano则在T.J.Jesky的律师事务所Jesky Law中担任副业务经理。两人被允许以3.70美元的固定价格出售他们的股票,而根据SEC,两人将这些股票的售价提高至21.12美元到48.40美元之间。

UBI Blockchain的股票价格在去年12月的一周内从9美元上涨到87美元。在激增的高峰期,UBI Blockchain成为继LongFin公司之后与比特币有关的,第二最有价值的上市公司。

966%的上涨率促使彭博社对该公司进行调查。调查结果显示,UBI Blockchain只有18名员工,且并没有实际收入。该公司之前被称为JA Energy,之后在2016年更名。今年1月份,SEC暂停了这家总部位于香港的公司股票的交易。

The US Securities and Exchange Commission (SEC) has charged two people for the illicit sale of UBI Blockchain stocks, according to a press release published on Monday. Attorney T.J. Jesky and business affairs manager Mark F. DeStefano have allegedly made approximately USD 1.4 million after selling restricted shares.

“This case is a prime example of why the SEC has warned retail investors to be cautious before buying stock in companies that suddenly claim to have a blockchain business,” said Robert A. Cohen, Chief of the SEC Division of Enforcement’s Cyber Unit.

Jesky and DeStefano did not admit or deny the allegations, but did agree to return approximately USD 1.4 million, as well as to pay USD 188 682 in penalties, and be subject to permanent injunctions.

The two Nevada residents received 72 000 restricted shares of the Hong Kong-based company in October of last year. T.J. Jesky’s acted as UBI’s attorney at law. Mark F. DeStafano is the associate business affairs manager of T.J. Jesky’s law firm, Jesky Law. The two individuals were permitted to sell their shares at a fixed price of USD 3.70. According to the US financial watchdog the shares were instead sold at prices ranging from USD 21.12 to USD 48.40

UBI Blockchain – Riding and Crashing with the Bitcoin Craze

UBI Blockchain stock prices rose from USD 9 to USD 87 in a single week during December of last year. During the peak of the surge, UBI Blockchain became the second most valuable publicly traded company related to bitcoin after LongFin Corp.

The 966% spike prompted Bloomberg to investigate the company. The much publicized findings revealed UBI Blockchain had only 18 employees and no revenue. The company was previously known as JA Energy, before changing its name in 2016. In January SEC temporarily suspended trading of the Hong Kong-based company’s shares amidst concerns of accuracy of assertions in its SEC filings.


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