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1、附录附录ASECChargesFormerNASDAQManagingDirectorwithInsiderTradingTheSECallegesthatDonaldL.Johnsontradedinadvanceofsuchpublicannouncementsascorporateleadershipchanges,earningsreportsandforecasts,andregulatoryapprovalsofnewpharmaceuticalproducts.Heoftenplac
2、edtheillegaltradesdirectlyfromhisworkcomputerthroughanonlinebrokerageaccountinhiswife'sname.Johnsonobtainedillicittradingprofitsofmorethan$755,000duringathree-yearperiod.JohnsonalsohasbeenchargedinaparallelcriminalactionannouncedbytheUSDepartmentofJus
3、ticetoday.AccordingtotheSac’scomplaintfiledinUSDistrictCourtfortheSouthernDistrictofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.AccordingtotheSac’scomplaintfiledinUSDistrictCourtfor
4、theSouthernDistrictofNewYork,JohnsonillegallytradedinadvanceofnineannouncementsinvolvingNASDAQ-listedcompaniesfromAugust2006toJuly2009.JohnsontookadvantageofbothfavorableandunfavorableinformationthatwasentrustedtohiminconfidencebyNASDAQanditslistedcom
5、panyclients,shortingstocksonseveraloccasionsandestablishinglongpositionsinotherinstances.JohnsonlivesinAshburn,Va.,andworkedinvariouspositionsfortheNASDandNASDAQfor20yearsuntilhisretirementfromNASDAQinSeptember2009.TheSECallegesthatJohnsonhadfrequenta
6、ndsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.HethentransferredtotheMarketIntelligenceDesk,aspecializeddepartmentwithintheCCGthatprovidesissuerswithgeneralmark
7、etupdates,overviewsoftheircompany'ssector,andcommentaryregardingthefactorsinfluencingday-to-daytradingactivityintheirstocks.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andi
8、nvestorrelationsofficersathisassignedcompanies.TheSECallegesthatJohnsonhadfrequentandsignificantinteractionswithseniorexecutivesofNASDAQ-listedissuers,includingCEOs,CFOs,andinvestorrelationsofficersathisassignedcompanies.Thecorporateexecutives
