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1、附录附录ASECChargesFormerNASDAQManagingDirectorwithInsiderTradingTheSECallegesthatDonaldL.Johnsontradedinadvanceofsuchpublicannouncementsascorporateleadershipchanges,earningsreportsandforecasts,andregulatoryapprovalsofnewpharmaceuticalproducts.Heoftenplacedthei
2、llegaltradesdirectlyfromhisworkcomputerthroughanonlinebrokerageaccountinhiswife'sname.Johnsonobtainedillicittradingprofitsofmorethan$755,000duringathree-yearperiod.JohnsonalsohasbeenchargedinaparallelcriminalactionannouncedbytheUSDepartmentofJusticetoday.Ac
3、cordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistrictofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.AccordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistric
4、tofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.JohnsontookadvantageofbothfavorableandunfavorableinformationthatwasentrustedtohiminconfidencebyNASDAQanditslistedcompanyclients,shortingstoc
5、ksonseveraloccasionsandestablishinglongpositionsinotherinstances.JohnsonlivesinAshburn,Va.,andworkedinvariouspositionsfortheNASDandNASDAQfor20yearsuntilhisretirementfromNASDAQinSeptember2009.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswiths
6、eniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.HethentransferredtotheMarketIntelligenceDesk,aspecializeddepartmentwithintheCCGthatprovidesissuerswithgeneralmarketupdates,overviewsoftheircompany'ss
7、ector,andcommentaryregardingthefactorsinfluencingday-to-daytradingactivityintheirstocks.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompa
8、nies.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.Thecorporateexecutives
