法律翻译 | 欺诈指控：Pignatello等涉嫌隐瞒信息并抛售Cannabiz数百万股票

译者 | 黎   琦 西南政法大学法律硕士

一审 | 张亦衡 杜克法学院J.D.

二审 | 富   扬 北京师范大学法律硕士

编辑 | 仲飞宇 西安外国语大学本科

         于   杰 上海对外经贸大学本科

责编 | 李   薇 浙江工商大学本科

Securities and Exchange Commission v. Christopher R. Esposito, et al., 

No.1:16-cv-10960

 (D. Mass. filed May 26, 2016)

美国证券交易委员会诉

Christopher R. Esposito, et al.案

案件编号：1:16-cv-10960

(本案于2016年5月26日提交至

马萨诸塞州联邦地区法院)

On February 12, 2024, the U.S. District Court for the District of Massachusetts entered a final judgment against Anthony Jay Pignatello of Winchester, Virginia. Pignatello was a consultant and Secretary for Cannabiz Mobile, Inc., a publicly traded company purportedly servicing medical marijuana businesses.

2024年2月12日，美国马萨诸塞州联邦地区法院对弗吉尼亚州温彻斯特市的Anthony Jay Pignatello作出一项终局裁决。Pignatello是 Cannabiz Mobile, Inc.的顾问兼秘书。据称，Cannabiz Mobile, Inc.是一家经营医用大麻业务的公开交易公司。

The SEC’s complaint, filed on May 26, 2016, alleged that Pignatello, along with other named defendants, engaged in a scheme to defraud investors. According to the SEC’s complaint, Pignatello and Christopher Esposito of Topsfield, Massachusetts, concealed Esposito’s ownership and control of Cannabiz to enrich themselves by facilitating the sale of hundreds of millions of shares of Cannabiz stock into the public market. The SEC alleged that, between early 2014 and August 2015, Pignatello and Esposito concealed Esposito’s de facto control of Cannabiz and a large percentage of Cannabiz’s securities in attempt to evade SEC Rule 144, which limits securities sales by affiliates, such as control persons. According to the SEC’s complaint, Pignatello’s actions allowed Esposito to sell significant amounts of Cannabiz convertible debt for almost $304,000. In addition, Pignatello, Esposito, and Renee Galizio of Loxahatchee, Florida, sold millions of shares of Cannabiz stock directly into the public market.

2016年5月26日，SEC（美国证券交易委员会，以下简称“SEC”）呈递起诉状，称Pignatello与其余被告一起，预谋欺诈投资者。根据SEC的起诉状，Pignatello和马萨诸塞州托普斯菲尔德市的Christopher Esposito隐瞒了Esposito对Cannabiz的所有权和控制权，并通过向公开市场抛售数以百万计的股票达到牟利的目的。SEC称，从2014年初至2015年8月期间，Pignatello和Esposito隐瞒了后者对Cannabiz 的实际控制权及持有Cannabiz相当数量的证券，以规避SEC规则第144条有关限制关系公司（含控制人）出售证券的规定。SEC的起诉状还称，Pignatello的一系列行为促使Esposito出售Cannabiz约304,000美元的可转换债券。此外，Pignatello、Esposito和佛罗里达州洛克瑟哈奇市的Renee Galizio还向公开市场直接抛售了数百万美元的股票。

（图片来源于网络）

The Securities and Exchange Commission having filed a Complaint and Defendant Anthony Jay Pignatello having entered a general appearance; consented to the Court’s jurisdiction over Defendant and the subject matter of this action; consented to entry of this Final Judgment; waived findings of fact and conclusions of law; and waived any right to appeal from this Final Judgment:

美国证券交易委员会已提交起诉书，且被告Anthony Jay Pignatello已出庭应诉；双方同意本法庭对被告享有管辖权，并同意本次诉讼的内容；双方同意登记本最终判决；双方放弃事实认定和法律结论；并放弃就本最终判决进行上诉：

I.

IT IS HEREBY ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating, directly or indirectly, Section 10(b) of the Securities Exchange Act of 1934 (the “Exchange Act”) [15 U.S.C. § 78j(b)] and Rule 10b-5 promulgated thereunder [17 C.F.R. § 240.10b-5], by using any means or instrumentality of Case 1:16-cv-10960-ADB Document 175 Filed 02/12/24 Page 1 of 62 interstate commerce, or of the mails, or of any facility of any national securities exchange, in connection with the purchase or sale of any security:

特此命令、判决及裁定，永久限制并禁止被告直接或间接违反《1934年证券交易法》（“交易法”）第10条第(b)款[美国法典第15卷第78章j段(b)款]和根据交易法颁布的法规第10b-5条[美国联邦法规第17卷第240章第10b-5条]的规定，即在编号为1:16-cv-10960-ADB的案件中，使用2024年2月12日递交的第175号文件第1页（共62项）有关州际贸易的任何手段或工具，或利用邮件，或利用任何国家证券交易工具，实施下列与证券买卖相关的行为：

(a)to employ any device, scheme, or artifice to defraud;

(a)使用任何手段、阴谋或诡计实施欺诈；

(b)to make any untrue statement of a material fact or to omit to state a material fact necessary in order to make the statements made, in the light of the circumstances  under which they were made, not misleading; or 

(b) 根据所做陈述的情况，为了使作出的陈述不具有误导性，不得已对重要事实作出虚假陈述，或疏于陈述重要事实。

(c)to engage in any act, practice, or course of business which operates or would operate as a fraud or deceit upon any person.

(c) 实施任何行为、实践或商业运作，对任何人产生或可能产生欺诈或欺骗的后果。

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a).

兹进一步命令、判决及裁定，根据《联邦民事程序规则》第65条第 (d) 款第 (2) 项的规定，以下通过专人送达或其他方式实际接收本终审判决通知的人亦应遵守上述规定：(a) 被告的高级职员、代理人、服务人员、员工和律师；(b)其他与被告或 (a) 中所述的任何人行动一致或共同参与的人。

（图片来源于网络）

II.

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 17(a) of the Securities Act of 1933 (the “Securities Act”) [15 U.S.C. § 77q(a)] in the offer or sale of any security by the use of any means or instruments of transportation or communication in interstate commerce or by use of the mails, directly or indirectly:

（法庭）特此进一步命令、判决及裁定，永久限制并禁止被告违反《1933年证券法》（“证券法”）第17条第 (a) 款[美国法典第15卷第77章q段 (a) 款]进行报价或出售任何证券，即在州际贸易中使用任何运输或传输手段或工具，或使用邮件直接或间接从事以下任何行为：

(a) to employ any device, scheme, or artifice to defraud;

(a) 使用任何手段、阴谋或诡计实施欺诈；

(b) to obtain money or property by means of any untrue statement of a material fact or any omission of a material fact necessary in order to make the statements Case 1:16-cv-10960-ADB Document 175 Filed 02/12/24 Page 2 of 63 made, in light of the circumstances under which they were made, not misleading;  or

(b) 根据所做陈述的情况，为了使作出的陈述不具有误导性，不得已对重要事实作出虚假陈述，或疏于陈述重要事实，以谋取金钱或财物；该陈述是指编号为1：16-cv-10960-ADB的案件中，2024年2月12日提交的第175号文件第2页（共 63 页）的内容。

(c) to engage in any transaction, practice, or course of business which operates or would operate as a fraud or deceit upon the purchaser.

(c) 实施任何交易、实践或商业运作，对买方产生或可能产生欺诈或欺骗的后果。

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided inFederal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’sofficers, agents, servants, employees, and attorneys; and (b) other persons in active concert orparticipation with Defendant or with anyone described in (a).

兹进一步命令、判决及裁定，根据《联邦民事程序规则》第65条第 (d) 款第 (2) 项的规定，以下通过专人送达或其他方式实际接收本终审判决通知的人亦应遵守上述规定：(a) 被告的高级职员、代理人、服务人员、员工和律师；(b)其他与被告或 (a) 中所述的任何人行动一致或共同参与的人。

（图片来源于网络）

III.

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently restrained and enjoined from violating Section 5 of the Securities Act [15 U.S.C. § 77e] by, directly or indirectly, in the absence of any applicable exemption:

在无任何可适用豁免理由的情况下，特此命令、判决及裁定，永久限制并禁止被告通过下列手段直接或间接违反《1933年证券法》（“证券法”）第5条第 (a) 款和 (c) 款的规定：

(a) Unless a registration statement is in effect as to a security, making use of any means or instruments of transportation or communication in interstate commerce or of the mails to sell such security through the use or medium of any prospectus or otherwise;

(a) 任何人直接或间接在州际贸易中利用任何运输或通讯手段或工具，或利用邮寄，通过寄送任何招股说明书或其他文件出售此类证券，申请证券上市的注册报告有效的除外；或¹

(b) Unless a registration statement is in effect as to a security, carrying or causing to be carried through the mails or in interstate commerce, by any means or instruments of transportation, any such security for the purpose of sale or for delivery after sale; or

(b) 以出售或售出后交付为目的，通过邮寄传送或促使传送任何此类证券，或在州际贸易中，使用任何运输手段或工具传送或促使传送任何此类证券，申请证券上市的注册报告有效的除外；

(c) Making use of any means or instruments of transportation or communication in Case 1:16-cv-10960-ADB Document 175 Filed 02/12/24 Page 3 of 64 interstate commerce or of the mails to offer to sell or offer to buy through the use or medium of any prospectus or otherwise any security, unless a registration statement has been filed with the Commission as to such security, or while the registration statement is the subject of a refusal order or stop order or (prior to the effective date of the registration statement) any public proceeding or examination under Section 8 of the Securities Act [15 U.S.C. § 77h].

(c) 在编号1:16-cv-10960-ADB的案件中，2024年2月12日递交的第175号文件第3页（共64页）有关州际贸易的规定，利用任何运输或传输手段或工具或邮件，通过使用或媒介任何招股说明书或其他方式要约出售或购买任何证券，已向委员会提交有关此类证券的注册声明的，或当注册声明是拒绝令或停止令的对象，或根据《证券法》第8条[美国法典第15卷第77张第h节]规定，在注册声明生效之日前进行的任何公开诉讼或审查的除外。

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, as provided in Federal Rule of Civil Procedure 65(d)(2), the foregoing paragraph also binds the following who receive actual notice of this Final Judgment by personal service or otherwise: (a) Defendant’s officers, agents, servants, employees, and attorneys; and (b) other persons in active concert or participation with Defendant or with anyone described in (a).

兹进一步命令、判决及裁定，根据《联邦民事程序规则》第65条第 (d) 款第 (2) 项的规定，以下通过专人送达或其他方式实际接收本终审判决通知的人亦应遵守上述规定：(a) 被告的高级职员、代理人、服务人员、员工和律师；(b)其他与被告或 (a) 中所述的任何人行动一致或共同参与的人。

（图片来源于网络）

IV.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, pursuant to Section 21(d)(2) of the Exchange Act [15 U.S.C. § 78u(d)(2)] and Section 20(e) of the Securities Act [15 U.S.C. § 77t(e)], Defendant is prohibited from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act [15 U.S.C. § 78l] or that is required to file reports pursuant to Section 15(d) of the Exchange Act [15 U.S.C.§ 78o(d)].

兹进一步命令、判决及裁定，根据交易法第21条第 (d) 款第 (2) 项[美国法典第15卷第78章第u条第 (d) 款第 (2) 项]和证券法第20条第 (e) 款[美国法典第15卷第77条第t款第 (e) 项]的规定，被告不得以任何发行人的高级职员或董事身份行事，根据证券交易法案第12条[美国法典第15卷第781章]的规定，此类发行人持有一类注册证券，或根据证券交易法案第15条第 (d) 款[美国法典第15卷第78张第o条第 (d) 款]的规定，此类发行人被要求递交报告。

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant is permanently barred from participating in an offering of penny stock, including engaging in activities with a broker, dealer, or issuer for purposes of issuing, trading, or inducing or attempting to induce the purchase or sale of any penny stock. A penny stock is any equity security that has a price of less than five dollars, except as provided in Rule 3a51-1 under the Exchange Act [17 C.F.R. 240.3a51-1].

特此命令、判决及裁定，永久禁止被告参与发行低价股，包括以发行、交易或引诱或意图引诱买卖任何低价股为目的，与股票经纪人、交易员或发行人一起从事活动。低价股是任何价值不超过5美元的股本证券，根据证券交易法颁布的法规第3a51-1条[美国联邦法规第17卷第240章第3a51-1条]规定的除外。

VI. 

IT IS HEREBY FURTHER ORDERED, ADJUDGED, AND DECREED that Defendant shall pay disgorgement of $37,264.00 and prejudgment interest of $6,073.52, which shall be deemed fully satisfied as to this Defendant by the forfeiture Defendant is liable for in United States v. Anthony Jay Pignatello (D. Mass.).

特此命令、判决及裁定，根据马萨诸塞州联邦地区法院审理的美国诉Anthony Jay Pignatello案中被告应承担的责任，被告应支付37,264.00美元违法所得和6,073.52美元判决前利息。

（图片来源于网络）

VII.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that, for purposes of exceptions to discharge set forth in Section 523 of the Bankruptcy Code, 11 U.S.C. §523, the allegations in the complaint are true and admitted by Defendant, and further, any debt for disgorgement, prejudgment interest, civil penalty or other amounts due by Defendant under this Final Judgment or any other judgment, order, consent order, decree or settlement agreement entered in connection with this proceeding, is a debt for the violation by Defendant of the federal securities laws or any regulation or order issued under such laws, as set forth in Section523(a)(19) of the Bankruptcy Code, 11 U.S.C. §523(a)(19).

兹进一步命令、判决及裁定，除《破产法》第 523 条（《美国法典》第 11 编第 523 条）规定的解除义务以外，起诉书中的指控是真实的，被告予以承认。此外，根据本最终判决或其他任何判决，被告应支付的任何违反所得、判决前利息、民事罚款或其他款项，与本诉讼相关的命令、同意令、法令或和解协议均是被告违反联邦证券法或据此颁布的任何法规或命令产生的债务，如《破产法》第 523条第(a)款第（19）项、《美国法典》第 11卷第523章第（a）条第（19）款的规定。

VIII.

IT IS FURTHER ORDERED, ADJUDGED, AND DECREED that this Court shall retain jurisdiction of this matter for the purposes of enforcing the terms of this Final Judgment.

兹进一步命令、判决及裁定，为执行本终审判决，本法庭保留对本事项的管辖权。

IX.

There being no just reason for delay, pursuant to Rule 54(b) of the Federal Rules of Civil Procedure, the Clerk is ordered to enter this Final Judgment forthwith and without further notice.

根据《联邦民事程序规则》第54条第(b)款规定，书记员应立即对本终审判决进行登记，无正当理由不得推迟，恕不另行通知。

（图片来源于网络）

The final judgment, which was entered by consent, enjoins Pignatello from future violations of the registration and antifraud provisions of Sections 5(a), 5(c), and 17(a) of the Securities Act of 1933 and Section 10(b) of the Securities Exchange Act of 1934 and Rule 10b-5 thereunder. The judgment also bars Pignatello from acting as an officer or director of any issuer that has a class of securities registered pursuant to Section 12 of the Exchange Act, and permanently bars him from participating in an offering of a penny stock. In addition, the judgment orders Pignatello to pay disgorgement and pre-judgment interest in the total amount of $43,337, but deems this obligation fully satisfied by the entry of a forfeiture order in a parallel criminal case filed in the U.S. District Court for the District of Massachusetts, in which Pignatello pled guilty to one count of conspiracy to commit securities fraud.

终局裁决禁止Pignatello进一步违反《1993年证券法》第5条第(a)项、第(c)项和第17条第(c)项和《1934年证券交易法》第10条第(b)项和该法案下规则10b-5有关的注册和反欺诈条款。根据《证券交易法》第12条的规定，此裁决亦禁止Pignatello担任任何发行人的高级职员或董事，并永久禁止其参与发行低价股。此外，判决还命令 Pignatello归还违法所得并支付总额为43,337美元的判决前利息，而美国马萨诸塞州联邦地区法院审理的一起类似的刑事案件中登记了没收令，视为Pignatello已完全履行了前述义务。Pignatello在该案中承认共谋证券欺诈的罪行。