申报公司前雇员 Jun Zhen 内幕交易案落定：法院判追缴50万余美元
美国证券交易委员会（SEC）11月12日宣布，纽约东区联邦法院已于11月9日对 Jun Zhen 作出最终同意判决，了结他被指参与的一宗内幕交易案。
据 SEC 在2025年8月18日提起的诉状，Zhen 与一名同事在一家协助客户通过 SEC 的 EDGAR 系统提交公开申报文件的公司任职，两人借职务之便获取客户即将公布的重大非公开信息，包括并购与业绩结果。2025年1月至6月间，两人不顾雇主禁止内幕交易的规定，据称至少13次利用这类信息交易，全案非法获利逾220万美元。
法院今年3月26日已先行作出部分同意判决，永久禁止 Zhen 违反《证券交易法》第10(b)条、第14(e)条及规则10b-5、14e-3的反欺诈规定。11月9日的最终判决重申这一禁令，并判 Zhen 追缴非法所得500,619美元、另付判决前利息8,832美元；这笔款项以平行刑事案 United States v. Chen and Zhen（案号25-cr-303）中已对他作出的没收令视为履行。
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）数据分析两人的可疑交易活动。SEC 并感谢纽约东区联邦检察官办公室与联邦调查局（FBI）的协助。（来源：美国证券交易委员会）
Final Judgment Against Jun Zhen in EDGAR Insider Trading Scheme: Ordered to Pay $500,619 in Disgorgement
The U.S. Securities and Exchange Commission (SEC) announced on November 12 that the U.S. District Court for the Eastern District of New York entered a final consent judgment on November 9 against Jun Zhen, resolving his role in an alleged insider trading scheme.
According to the SEC's complaint, filed on August 18, 2025, Zhen and another individual were employed by a company that assisted its clients with making public filings in the SEC's EDGAR system. Through that employment, they allegedly obtained material nonpublic information about clients' forthcoming announcements of important events, including mergers and earnings results. From around January 2025 to June 2025, despite their employer's prohibition on engaging in insider trading, Zhen and his colleague allegedly traded on the basis of that information on at least 13 occasions and generated more than $2.2 million in ill-gotten profits across the scheme.
On March 26, 2026, the court entered a partial consent judgment against Zhen permanently enjoining him from violating the antifraud provisions of Sections 10(b) and 14(e) of the Securities Exchange Act of 1934 and Rules 10b-5 and 14e-3 thereunder. The final judgment, entered on November 9, 2026, reimposed the injunctive relief and ordered him liable for disgorgement of $500,619 and prejudgment interest of $8,832, payment of which is deemed satisfied by the order of forfeiture entered against him in the parallel criminal action, United States v. Chen and Zhen, 25 cr. 303 (E.D.N.Y.).
The SEC said its investigation originated from the Enforcement Division's Market Abuse Unit, which used Consolidated Audit Trail (CAT) data to analyze the suspicious trading activity. The SEC thanked the U.S. Attorney's Office for the Eastern District of New York and the FBI 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：位于华盛顿的美国证券交易委员会（SEC）总部大楼（四级图库联邦核心包固定图），本案由 SEC 市场滥用组调查。 / Image: U.S. Securities and Exchange Commission headquarters building in Washington (fixed image from the federal core asset pack); the case was investigated by the SEC Market Abuse Unit.
GSM Global · 本篇英文版 English edition of this story
