律所文件处理专员 Chetram Balli 被控内幕交易：被指至少交易8次、获利约5.5万美元
美国证券交易委员会（SEC）11月12日起诉大型国际律师事务所雇员 Chetram Balli，指控他利用职务中接触到的重大非公开信息，交易律所客户等涉未公布交易企业的股票。
据 SEC 诉状，Balli 在一家并购业务规模庞大的大型国际律所纽约办公室任文件处理专员，工作中能接触到律所客户即将公布的并购等重大非公开信息。SEC 指控，2025年5月至2026年10月间，Balli 不顾雇主禁止内幕交易的规定，至少8次利用这类信息交易，非法获利约55,000美元。
SEC 在纽约东区联邦法院提起诉讼（案号26-cv-7294），指控 Balli 违反《证券交易法》第10(b)条及规则10b-5的反欺诈规定，寻求禁令、追缴非法所得加判决前利息与民事罚款。同日，Balli 另被纽约东区联邦检察官办公室以平行刑事案起诉。上述指控尚待法院审理认定。
SEC 表示，此案源于执法部门市场滥用组利用综合审计追踪（CAT）数据分析 Balli 的可疑交易活动。SEC 并感谢纽约东区联邦检察官办公室、联邦调查局（FBI）与金融业监管局的协助。（来源：美国证券交易委员会）
Law Firm Employee Chetram Balli Charged with Insider Trading: Allegedly Traded at Least Eight Times, Made About $55,000
The U.S. Securities and Exchange Commission (SEC) on November 12 charged Chetram Balli, an employee of a large international law firm, with allegedly using material nonpublic information to trade the stocks of the law firm's clients and other entities involved in upcoming transactions.
According to the SEC's complaint, Balli is employed as a document processing specialist at the New York office of a large international law firm with a substantial mergers and acquisitions practice. Through his employment, Balli allegedly obtained material nonpublic information about forthcoming announcements of mergers and acquisitions involving the firm's clients. As alleged, between May 2025 and October 2026, despite his employer's prohibition on engaging in insider trading, Balli allegedly traded on the basis of that information on at least eight occasions and generated approximately $55,000 in ill-gotten profits.
The SEC's complaint, filed in the U.S. District Court for the Eastern District of New York (No. 26-cv-7294), charges Balli with violating the antifraud provisions of Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The complaint seeks injunctive relief, disgorgement with prejudgment interest, and civil monetary penalties. On the same day, Balli was charged in a parallel criminal action brought by the U.S. Attorney's Office for the Eastern District of New York. The charges are allegations that remain to be proven in court.
The SEC said its investigation originated from the Enforcement Division's Market Abuse Unit, which used Consolidated Audit Trail (CAT) data to analyze Balli's suspicious trading activity. The SEC thanked the U.S. Attorney's Office for the Eastern District of New York, the FBI, and the Financial Industry Regulatory Authority for their assistance. (Source: U.S. Securities and Exchange Commission)
来源：美国证券交易委员会
发布：GSM·美国（发布链接）
图片来源：图：美国司法部总部大楼（四级图库联邦核心包固定图），Balli 同日被纽约东区联邦检察官办公室平行刑事起诉。 / Image: U.S. Department of Justice headquarters building (fixed image from the federal core asset pack); Balli was charged the same day in a parallel criminal action by the U.S. Attorney's Office for the Eastern District of New York.
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