UPDATE: SEC Charges Trader, Entities In False-News Scheme
July 23 2009 - 6:00PM
Dow Jones News
The U.S. Securities and Exchange Commission Thursday charged a
Kuwait-based trader and three related foreign entities with making
millions of dollars in trading profits following the dissemination
of false news about two U.S. companies.
The SEC's civil lawsuit, filed in a Manhattan federal court,
accuses Hazem Khalid Al-Braikan, United Gulf Bank, Kipco Asset
Management Co. and Al-Raya Investment Co. of trading based on a
fake press release claiming that a Middle Eastern investment group
planned to acquire Harman International Industries Inc. (HAR).
The fake press release was transmitted via facsimile to media
outlets on July 19, causing Harman's share price to climb by more
than 40% in pre-trading the following day, the SEC said. Harman's
share price later dropped after the company repudiated the
announcement.
Al-Braikan and the other foreign companies amassed massive
positions in Harman's common stock and call options in the four
days before the fake announcement went out, allowing them to reap
millions of dollars, the SEC claims.
The lawsuit also claims that two of those foreign entities
profited back in April after a Kuwaiti newspaper falsely reported
that some Middle Eastern companies were trying to purchase Textron
Inc. (TXT). Al-Braikan amassed numerous positions before the fake
story ran, then sold the Textron holdings at an inflated price.
The SEC doesn't allege that Al-Braikan or any of his associates
were responsible for disseminating the phony news. The agency
declined to comment on whether or not it is trying to determine the
source of the press release, saying only that its investigation
into the case is ongoing.
Al-Braikan, according to the SEC, resides in Kuwait and is chief
executive of Al-Raya Investment Company. United Gulf Bank is the
investment-banking arm of Kuwait Projects Company.
There was no attorney on record for any of the defendants, and
no one could be reached at Gulf Bank or the Al-Raya Investment
Management Co.
"This case exemplifies the SEC's swift and surgical
investigative skills and our determination to follow the trail
wherever it leads," said Robert Khuzami, director of the SEC's
Division of Enforcement.
The SEC said it has already received an emergency order to
freeze more than $5 million in trading profits sitting in various
U.S. accounts in the defendants' names.
-By Sarah N. Lynch, Dow Jones Newswires; 202-862-6634;
sarah.lynch@dowjones.com