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No. 2 Branch of the People's Procuratorate of Beijing Municipality v. Shanghai Huaya Company and Ding Fugen, et al (Case on Manipulating Securities Trading Prices)
北京市人民检察院第二分院诉上海华亚公司和丁福根等人操纵证券交易价格案
【法宝引证码】

No. 2 Branch of the People’s Procuratorate of Beijing Municipality v. Shanghai Huaya Company and Ding Fugen, et al (Case on Manipulating Securities Trading Prices)
(Case on Manipulating Securities Trading Prices)
北京市人民检察院第二分院诉上海华亚公司和丁福根等人操纵证券交易价格案

No. 2 Branch of the People's Procuratorate of Beijing Municipality v. Shanghai Huaya Company and Ding Fugen, et al
(Case on Manipulating Securities Trading Prices)

 

北京市人民检察院第二分院诉上海华亚公司和丁福根等人操纵证券交易价格案

BASIC FACTS 
Prosecuting Organ: the No. 2 Branch of the People's Procuratorate of Beijing Municipality. 公诉机关:北京市人民检察院第二分院。
Defendant: Shanghai Huaya Industry Development Company, whose registered business place is at Pudong South Road, Shanghai 被告单位:上海华亚实业发展公司。注册经营地:上海市浦东南路。
Defendant: Ding Fugen, male, 37, employee of China Venture Capital Limited Company, dwelling at Haidian District, Beijing. He was arrested on May 18, 2001. 被告人:丁福根,男,37岁,中科创业投资有限公司职员,住北京市海淀区。2001年5月18日被逮捕。
Defendant: Dong Peilin, male, 49, legal representative of Shanghai Huaya Industry Development Company, dwelling at Haidian District, Beijing. He was arrested on April 19, 2001. 被告人:董沛霖,男,49岁,上海华亚实业发展公司法定代表人,住北京市海淀区。2001年4月19日被逮捕。
Defendant: Pang Bo, female, 27, employee of China Venture Capital Limited Company, dwelling at Xi'an District, Mudanjiang City, Heilongjiang Province. She was arrested on April 19, 2001. 被告人:庞博,女,27岁,中科创业投资有限公司职员,住黑龙江省牡丹江市西安区。2001年4月19日被逮捕。
Defendant: He Ningyi, male, 45, legal representative of Hangzhou Huaya Industry Company, dwelling at Shangcheng District, Hangzhou, Zhejiang Province. He was arrested on May 24, 2001. 被告人:何宁一,男,45岁,杭州华亚实业公司法定代表人,住浙江省杭州市上城区。2001年5月24日被逮捕。
Defendant: Li Yun, male, 49, general manager of Shanghai Huaya Industry Development Company, dwelling at Xuhui District, Shanghai. He was arrested on April 19, 2001. 被告人:李芸,男,49岁,上海华亚实业发展公司总经理,住上海市徐汇区。2001年4月19日被逮捕。
Defendant: Bian Junyong, male, 31, legal representative of Beijing Kewo Technology Limited Company, dwelling at Xuanwu District, Beijing. He was arrested on May 24, 2001. 被告人:边军勇,男,31岁,北京克沃科技有限公司法定代表人,住北京市宣武区。2001年5月24日被逮捕。
Defendant: Liu Lei, female, 32, unemployed, dwelling at Haidian District, Beijing. She was arrested on May 18, 2001. 被告人:刘蕾,女,32岁,无业,住北京市海淀区。2001年5月18日被逮捕。
PROCEDURAL POSTURE 
With regard to the manipulation by Shanghai Huaya Industry Development Company (a defendant, hereinafter referred to as Huaya Company) and Ding Fugen, et al of securities trading prices and the concealment by Liu Lei, the No. 2 Branch of the People's Procuratorate of Beijing Municipality lodged a prosecution to the No. 2 Intermediate People's Court of Beijing Municipality (hereinafter referred to as Beijing No. 2 Intermediate Court) on May 9, 2002. 被告单位上海华亚实业发展公司、被告人丁福根等人操纵证券交易价格、刘蕾窝藏案,由北京市人民检察院第二分院于2002年5月9日向北京市第二中级人民法院提起公诉。
The bill of indictment describes: from December 1998 to January 2001, Lü Xinjian and Zhu Huanliang (both were punished separately in another case) colluded with each other, and attempted to manipulate a circulation stock named Kondarl. For this purpose, Lü Xinjian successively instigated Ding Fugen, Pang Bo, Bian Junyong, et al to, jointly with Huaya Company and Dong Peilin, et al, conclude cooperation agreements and agreements on entrusted financial management with more than 100 entities or individuals in more than 20 provinces, autonomous regions and municipalities directly under the Central Government including Beijing, Shanghai and Zhejiang in the names of China Venture Capital Limited Company, Beijing Kewo Technology Limited Company or Ding Fugen, Bian Junyong or other individuals. In this way, they raised a total amount of CNY 5.4 billion odd of funds, and successively opened more than 1,500 shareholder's accounts in more than 120 business departments including Shenyin Wanguo Securities Joint Stock Limited Company, Shanghai Lujiabang Business Department, and Zhongxing Trust & Investment Limited Liability Company, Beijing Asian Games Village Business Department. Meanwhile, they jointly or continuously traded in the 0048 stock by way of trading with themselves without aiming to transfer the power of actual control, and by way of making use of buying Shenzhen Kondarl's corporate shares, entering that listed company's board of directors, or publishing information as well as by other ways so as to impact the stock trading prices. During that period, they maximumly held or controlled a total number of more than 56 million shares of the 0048 stock (accounting for 55.36% of circulation shares of the 0048 stock), seriously impacted the trading prices and trading quantity of the 0048 stock, and manipulated the trading price of the 0048 stock. 起诉书指控:1998年12月至2001年1月间,吕新建与朱焕良(均另行处理)合谋,意图操纵股票名称为康达尔的流通股。为此,吕新建先后指使被告人丁福根、庞博、边军勇等人并联合被告单位上海华亚实业发展公司、被告人董沛霖等人在北京、上海、浙江等20余个省、自治区、直辖市以中科创业投资有限公司、北京克沃科技有限公司等公司或被告人丁福根、边军勇等个人名义,与100余家单位或个人签定合作协议、委托理财协议等,筹集资金共计人民币54亿余元,在申银万国证券股份有限公司上海陆家浜营业部、中兴信托投资有限责任公司北京亚运村营业部等120余家营业部,先后开设股东帐户1500余个,同时采取以不转移实际控制权为目的的自买自卖,及利用购买深圳康达尔公司法人股、进入该上市公司董事会、发布信息从而影响股票交易价格等方法,联合或连续买卖0048股票,其间最高持有或控制0048股票共计5600余万股(占0048股票流通股份的55.36%),严重影响0048股票的交易价格及交易量,操纵0048股票交易价格。
...... 被告人丁福根明知吕新建意图操纵股票交易价格,仍按其要求,直接或指使被告人庞博等人,对20余个省、自治区、直辖市120余家营业部所开设的1500余个股东帐户及所筹集的资金54亿余元进行全面管理、调拨,并直接联系或参与筹集资金合同的签定,同时以被委托人的身份在营业部内从事开户、证券买卖、转托管、指定交易与撤销指定交易、存取款、清户和转授权等活动。
 被告人丁福根、庞博还按照吕新建的要求,同时或分别向被告人边军勇、董沛霖、何宁一、李芸、上海华亚实业发展公司及杭州华亚实业公司等人(或公司)在所控制的1500余个股东帐户、120余家营业部下达买卖指令,严重影响0048股票的交易价格及交易量,操纵0048股票交易价格。
 被告人董沛霖在担任上海华亚实业发展公司法定代表人期间,在明知吕新建需要资金操纵股票交易价格的情况下,直接或指使被告人何宁一以杭州华亚实业公司、被告人李芸以上海华亚实业发展公司等名义在黑龙江、浙江、上海等地,采取以上海华亚实业发展公司、杭州华亚实业公司等或董沛霖个人名义与出资单位或个人签定借款合同、资产委托管理协议书等形式筹集资金共计人民币7亿余元,并按照吕新建的指令用于操纵股票交易价格。
 被告人何宁一在担任杭州华亚实业公司法定代表人期间,在董沛霖指使下,明知吕新建意图操作股票交易价格,还先后在浙江省采取以杭州华亚实业公司等名义与出资单位或个人签定借款合同等形式筹集资金3.2亿余元,并直接或指令他人将所筹集的资金根据被告人董沛霖、丁福根、庞博等人的自买自卖等要求,进行买卖交易,操纵股票交易价格。
 被告人李芸在担任上海华亚实业发展公司总经理期间,在被告人董沛霖的指使下,明知吕新建意图操纵股票交易价格,还先后在上海、江西等地采取以上海华亚实业发展公司等名义与出资单位或个人签定借款协议、资产委托管理协议等形式筹集资金3.1亿余元,并直接或指令他人将所筹集资金根据被告人董沛霖、丁福根、庞博等人的自买自卖等要求进行股票的买卖交易。
 被告人边军勇在吕新建指使下,为操纵股票交易价格,在吕新建成立北京克沃科技公司担任法定代表人,并利用该公司等名义先后在湖北、北京等地与出资单位签定投资委托协议书、投资合作协议书等形式筹集资金1.4亿余元,并直接或指令他人将所筹集的资金根据被告人丁福根、庞博等人的自买自卖等要求,进行股票的买卖交易。
 被告人刘蕾于2001年1月至4月间,在明知被告人丁福根因操纵股票行为可能被公安机关查处时,寻找住处藏匿丁福根,并为自己及丁福根制作假身份证两张,以逃避公安机关抓捕。
 公诉机关认为,被告单位上海华亚实业发展公司、被告人丁福根、董沛霖、庞博、何宁一、李芸、边军勇操纵证券交易价格,获取不正当利益,触犯了《中华人民共和国刑法》(以下简称刑法)第一百八十二条之规定,构成了操纵证券交易价格罪;被告人刘蕾明知丁福根涉嫌犯罪而为其提供住所等便利,帮助其逃匿,触犯了刑法三百一十条第一款之规定,构成了窝藏罪。提请依法惩处。
 被告人丁福根辩称:不知道吕新建企图操纵股票交易价格,本人也没有操纵证券交易价格的故意。其辩护人认为:丁福根不具有操纵证券交易价格的故意;本案中的“倒仓”和“对敲”行为已使股票所有权发生了转移,不属于刑法规定的“自买自卖”情形;丁福根系本案的从犯。
 被告人董沛霖辩称:当时不明知吕新建操纵证券交易价格。其辩护人认为:董沛霖的行为系职务行为,属单位犯罪,董沛霖只应承担单位直接负责的主管人员的责任;董沛霖及其所属公司仅参与了筹集资金,未实施操纵证券交易价格行为;董沛霖是为了让吕新建偿还合法债务才实施了融资行为,其所属公司获取的是联系、介绍资金的中介费,没有利用股票价格获得不正当利益。
 被告人庞博对起诉书指控的犯罪事实未提出异议。其辩护人认为:庞博未参与谋划操纵证券交易价格,其行为均是传达指令;庞博系主动投案自首,希望对其免予刑事处罚。
 被告人何宁一辩称:事先不知道吕新建操纵证券交易价格。其辩护人认为:何宁一是以所在公司的名义融资,其参与的六笔融资贷款条件是吕新建制定的,其本人不清楚质押款的来源和贷款的去向,对担保单位情况亦不清楚;未提供股东卡,也不知道其他被告人操纵证券交易价格的情况,建议对何宁一免予刑事处罚。
 ......

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