SEC 正式起诉特斯拉创始人马斯克（附诉状）

SEC最新通告如下（中文翻译仅供参考，英文原文后附）

马斯克被指控发布误导性推特, 

立即公告2018-219 华盛顿特区, 

2018年9月27日-

美国证券交易委员会今日 (星期二) 起诉硅谷公司特斯拉的首席执行官兼董事长马斯克在推特上发布系列关于公司私有化的虚假和误导性信息。

在 2018年8月7日, 马斯克在推特向他的 2200万 Twitter 追随者宣称, 他可以采取特斯拉私人股本为每股420美元 (当时的交易价格相当溢价), 这笔交易的资金已得到担保, 唯一的不确定性是股东投票。 SEC 称, 事实上, 马斯克没有与任何潜在的融资伙伴讨论具体的交易条款, 据称他知道潜在的交易是不确定的, 而且会受到许多紧急情况的侵害。根据 SEC 的诉状, 马斯克发布的的该消息导致特斯拉的股价在8月7日超过 6%, 并导致了重大的市场混乱。

"公司高管在我们的市场上持有信任的立场, 对股东负有重要责任," SEC 执行部门联席主任史蒂芬 Peikin 说。 "公司高管的名人身份或作为技术创新者的声誉, 并没有给予许可, 以承担这些责任掉以轻心。 

"谨慎提供真实准确的信息是 CEO 最重要的义务之一," SEC 执行部门联合董事斯蒂芬妮 Avakian 补充道。 "这一标准适用于通过社交媒体或另一种非传统形式进行通信时的同等效力."

SEC 在纽约南区联邦地区法院提出的控诉称, 马斯克违反了联邦证券法的反欺诈条款, 并请求法院发布针对被告的永久性禁令、没收非法所得、民事处罚和禁止马斯克担任上市公司高管或董事。 

SEC 的调查继续进行, 由沃克. 布赫兹和布伦特. 史密斯等负责，旧金山地区办公室负责监督。诉讼将由谢丽尔 Crumpton 和巴雷特伍德负责。

Elon Musk Charged with Securities Fraud for Misleading Tweets

FOR IMMEDIATE RELEASE

2018-219

Washington D.C., Sept. 27, 2018 —

The Securities and Exchange Commission today charged Elon Musk, CEO and Chairman of Silicon Valley-based Tesla Inc., with securities fraud for a series of false and misleading tweets about a potential transaction to take Tesla private.  

On August 7, 2018, Musk tweeted to his 22 million Twitter followers that he could take Tesla private at $420 per share (a substantial premium to its trading price at the time), that funding for the transaction had been secured, and that the only remaining uncertainty was a shareholder vote.  The SEC’s complaint alleges that, in truth, Musk had not discussed specific deal terms with any potential financing partners, and he allegedly knew that the potential transaction was uncertain and subject to numerous contingencies. According to the SEC’s complaint, Musk’s tweets caused Tesla’s stock price to jump by over six percent on August 7, and led to significant market disruption.

“Corporate officers hold positions of trust in our markets and have important responsibilities to shareholders,” said Steven Peikin, Co-Director of the SEC’s Enforcement Division.  “An officer’s celebrity status or reputation as a technological innovator does not give license to take those responsibilities lightly.”  

“Taking care to provide truthful and accurate information is among a CEO’s most critical obligations,” added Stephanie Avakian, Co-Director of the SEC’s Enforcement Division.  “That standard applies with equal force when the communications are made via social media or another non-traditional form.”

The SEC’s complaint, filed in federal district court in the Southern District of New York, alleges that Musk violated antifraud provisions of the federal securities laws, and seeks a permanent injunction, disgorgement, civil penalties, and a bar prohibiting Musk from serving as an officer or director of a public company.  

The SEC’s investigation, which is continuing, was conducted by Walker Newell, and Brent Smyth and supervised by Steven Buchholz, Erin Schneider, and Jina Choi in the San Francisco Regional Office.  The litigation will be led by Cheryl Crumpton and Barrett Atwood.

以下是诉状

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