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1、附录附录ASECChargesFormerNASDAQManagingDirectorwithInsiderTradingTheSECallegesthatDonaldL.Johnsontradedinadvanceofsuchpublicannouncementsascorporateleadershipchanges,earningsreportsandforecasts,andregulatoryapprovalsofnewpharmaceuticalproducts.Heoftenplacedtheillegaltradesdirectlyfr
2、omhisworkcomputerthroughanonlinebrokerageaccountinhiswife'sname.Johnsonobtainedillicittradingprofitsofmorethan$755,000duringathree-yearperiod.JohnsonalsohasbeenchargedinaparallelcriminalactionannouncedbytheUSDepartmentofJusticetoday.AccordingtotheSac’scomplaintfiledinUSDistrictC
3、ourtfortheSouthernDistrictofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.AccordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistrictofNewYork,Johnsonillegallytradedinadvanceofnineannouncementsinvol
4、vingNASDAQ-listedcompaniesfromAugust2006toJuly2009.JohnsontookadvantageofbothfavorableandunfavorableinformationthatwasentrustedtohiminconfidencebyNASDAQanditslistedcompanyclients,shortingstocksonseveraloccasionsandestablishinglongpositionsinotherinstances.JohnsonlivesinAshburn,V
5、a.,andworkedinvariouspositionsfortheNASDandNASDAQfor20yearsuntilhisretirementfromNASDAQinSeptember2009.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.He
6、thentransferredtotheMarketIntelligenceDesk,aspecializeddepartmentwithintheCCGthatprovidesissuerswithgeneralmarketupdates,overviewsoftheircompany'ssector,andcommentaryregardingthefactorsinfluencingday-to-daytradingactivityintheirstocks.TheSECallegesthatJohnsonhadfrequentandsignif
7、icantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsoffice
8、rsathisassignedcompanies.Thecorporateexecutives
