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WILLIAM J. STELLMACH
DAVID I. MILLER
Assistant United States Attorneys
SEALED
COMPLAINT
UNITED STATES OF AMERICA
Violations of
15 U:S.C. §§78j (b),
- v. - 78ff; 17 C.F.R.
§ 240.10b-S; and
EZRA LEVY, 18 U.S.C. § 1343 and 2.
Defendant.
COUNTY OF OFFENSE:
NEW YORK AND ELSEWHERE
- - - - - - - - - - - - - - - x
SOUTHERN DISTRICT OF NEW YORK, ss.:
\
ROBERT W. MANCHAK, being duly sworn, deposes and says
that he is a Criminal Investigator with the United States
Attorney's Office for the Southern pi strict of New York and
charges as follows:
COUNT ONE
(Securities Fraud)
(Title 15, United States Code, Sections 78j (b) & 78ff;
Title 17, Code of Federal Regulations, Section 240.10b-5,
and Title 18, United States Code, Section 2.)
(Wire Fraud)
2
FIVE April 2/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
SIX May 1/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
SEVEN June 1/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
EIGHT July 1/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
NINE August 3/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
TEN September 1/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
ELEVEN October 1/ 2009 $66/666 wire
transfer from a
bank account in
Minnesota to a
bank account in
New York, NY
3
(Title 18, United States Code, Sections 1343 and 2.)
Overview
4
Diversion of Funds
New York.
5
c. Between in or about January 2009 and in or
about October 2009, the Issuer each month
wired approximately $66,000 from its bank
account located in Minnesota into the
Washington Mutual Bank Account that LEVY
controlled, located in New York, New York.
In total, the Issuer wire transferred
approximately $726,000 into the Washington
Mutual Bank Account that was owed to the
Hedge Fund.
6
trading records for an account that EZRA LEVY, the defendant,
held at Interactive Brokers (the "Levy Brokerage Account") and
trading records for the Hedge Fund's own trading account ("Hedge
Fund Trading Account"). Based on my review of those trading
records and conversations with the SEC and representatives of the
Hedge Fund, I learned the following:
7
g. Following those purchases, on or about June
22, 2009, after the market's close, LEVY
caused the Hedge Fund Trading Account to
purchase from the Levy Brokerage Account
approximately 112,000 shares of ATLS at
approximately $19.48 per share. On this day,
ATLS traded no higher than $17.21 and closed
at $15.75.
8
j. On or about October 21, 2009, LEVY approached
the General Partner and stated, among other
things, that:
~L.-1-tv-~
ROBERT W. MANCHAK ~.
CRIMINAL INVESTIGATOR
OFFICE OF THE UNITED STATES ATTORNEY
FOR THE SOUTHERN DISTRICT OF NEW YORK