The SEC alleges Mr. Zhou stole $271,500 in proceeds from one company's capital raising in order to pay the mortgage on a New York condominium where his son lived; orchestrated a scheme to help a Chinese real estate company artificially meet the requirements to list on a U.S. exchange; and sold millions of dollars in unregistered securities to dozens of Chinese-American investors.
SEC指控说,周华康为了支付他儿子在纽约居住过的一套公寓的抵押贷款,从一家公司募集的资本中窃取了271,500美元;人为地使一家中国房地产公司符合了在一家美国交易所上市的要求;还向数十位华裔美籍投资者出售了数百万美元的非注册证券。
Mr. Zhou and his attorney couldn't be reached for comment Tuesday.
记者周二无法联系到周华康和他的律师置评。
The SEC's case against Mr. Zhou reflects its focus on the 'gatekeepers'─such as consultants, financiers and auditors─who helped give Chinese companies access to U.S. markets. The Wall Street Journal spotlighted Mr. Zhou last week in a story about the SEC's scrutiny of gatekeepers as part of its probe of accounting questions at Chinese companies.
SEC起诉周华康的案子凸显出“看门人已经成为SEC打击的目标。所谓“看门人是指那些帮助中国企业获得登陆美国资本市场机会的咨询师、金融家和审计人员。《华尔街日报》上周的一篇报道着重提到过周华康,报道谈论了为调查中国公司的会计问题,SEC对“看门人展开调查。
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