A UBS AG (UBS) investment banker, a former co-worker, a family
friend and a former classmate have been charged criminally in an
insider-trading case that allegedly reaped more than $7 million in
illicit profits.
Nicos Achillea Stephanou, a UBS investment banker who has been
in custody since his arrest in December, has been charged with
conspiracy and two counts of securities fraud. The charges against
Stephanou, 34, of London were announced publicly Thursday.
On Thursday, Joseph Contorinis, a former portfolio manager for a
hedge fund in Jefferies Group Inc.'s (JEF) asset-management unit
and former co-worker of Stephanou; Michael Koulouroudis, a close
family friend of Stephanou; and George Paparrizos, a former
classmate of Stephanou's at the University of California-Berkeley,
were charged with conspiracy and securities fraud.
Each fraud charge carries up to 20 years in prison if
convicted.
Contorinis, 44, of Fort Myers, Fla.; and Koulouroudis, 59, of
Brooklyn, N.Y.; were arrested Thursday by the Federal Bureau of
Investigation in New York and Paparrizos, 37, of Foster City,
Calif., was arrested in California.
Prosecutors have alleged that Stephanou worked on the
acquisition of Albertson's Inc. by a consortium of investors in
2006 and had access to nonpublic information through his work about
a proposed acquisition of ElkCorp by a private-equity firm in 2006.
He allegedly tipped others about the deals before they became
public.
At a hearing Thursday, Assistant U.S. Attorney Reed Brodsky said
the alleged tipper, a UBS banker, was cooperating with the
government, but hadn't pleaded guilty to criminal charges. However,
the prosecutor didn't identify Stephanou by name as a
cooperator.
On Thursday, the U.S. Securities and Exchange Commission
separately brought civil charges against seven people in the
matter, including Stephanou, Koulouroudis, Contorinis and
Paparrizos. The SEC claims the scheme resulted in more than $8
million in illegal profits and losses avoided.
The SEC also brought charges against Stephanou's father,
Paparrizos's father, and Ramesh Chakrapani, a onetime Blackstone
Group (BX) executive and former co-worker of Stephanou's at Credit
Suisse First Boston, now part of Credit Suisse Group (CS).
Last month, Chakrapani was charged with conspiracy and
securities fraud in a separate insider-trading scheme involving
shares of Albertson's. He also has been charged in a separate civil
case by the SEC with engaging in a $3.6 million insider-trading
scheme.
Michael F. Bachner, a lawyer for Koulouroudis, and Christopher
J. Morvillo, a lawyer for Stephanou, both declined comment
Thursday.
A lawyer for Contorinis didn't immediately return a phone call
for comment on Thursday, while a lawyer for Paparrizos couldn't
immediately be located Thursday.
"Mr. Chakrapani is adamant that he never violated his duties to
his employer and we expect him to be fully exonerated," said
Michael Sommer, his lawyer.
Sommer noted none of the criminal complaints that became public
Thursday allege a connection to his client.
Bail was set at $900,000, to be secured by $500,000 in cash or
property, for Koulouroudis. Bail was set at $7 million, to be
secured by $5 million in cash or property, for Contorinis.
Tom Tarrant, a Jefferies spokesman, confirmed Contorinis left
Jefferies a year ago and declined further comment, citing company
policy.
Federal prosecutors alleged Contorinis received a tip from an
investment banker concerning the acquisition of Albertson's prior
to the public announcement of the deal in January 2006. A hedge
fund account controlled by Contorinis allegedly reaped profits of
$7.2 million on trading in shares of Albertson's.
Albertson's was sold in 2006 to a consortium of investors that
included Supervalu Inc. (SVU), CVS Caremark Corp. (CVS) and an
investor group led by Cerberus Capital Management LP.
The government also alleged Koulouroudis and Paparrizos engaged
in improper trading of shares of Albertson's, as well as shares of
ElkCorp before it agreed to be acquired by a private-equity firm in
December 2006. After a competing offer, ElkCorp ultimately was
acquired by Building Materials Corp. of America in 2007.
The SEC also alleged in the civil case that Chakrapani,
Stephanou, his father and Koulouroudis engaged in a scheme to trade
ahead of the announcement of a proposed buyout of National Health
Investors Inc. (NHI) in 2006 based on a tip by Chakrapani.
-By Chad Bray, Dow Jones Newswires; 212-227-2017;
chad.bray@dowjones.com