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A Goldman Sachs worker whose job was to prevent wrongdoing at the bank spied
on his co-workers and used the inside information to make nearly half a
million in illicit profits, regulators alleged in court papers.
Yue “John” Han, an associate in Goldman’s surveillance group, made $460,
000 trading stocks before fleeing to China, the Securities and Exchange
Commission said in a complaint filed Wednesday.
The 30-year-old Chinese citizen joined the investment bank in December and
worked in compliance, where he was tasked with keeping an eye on his co-
workers. But it turned out that it was Han who needed watching, the SEC said.
“We allege that Han’s employer gave him access to confidential information
so that he could help the firm detect and deter illegal activity, but he
betrayed that trust by using the information for his own profit,” Joseph
Sansone, co-chief of the SEC’s market abuse unit, said in a statement.
From July to October, Han plundered the private communications of Goldman
dealmakers and traded in personal accounts in his and a relative’s name.
Han “could access the e-mails of Goldman Sachs’ employees — including
employees in the firm’s investment banking division, which was responsible
for advising clients on M&A transactions — without alerting the employees
themselves,” the SEC said.
Han traded in the stocks of four companies: Yodlee, a tech firm, online
retailer Zulily, media research firm Rentrak, and KLA-Tencor, a computer
chip maker, according to the complaint.
Han left Goldman Oct. 9 and fled to Shanghai less than two weeks later,
where he is believed to reside, the SEC said.
The SEC has since frozen Han’s assets.
“If the allegations are true, Han violated our trust and ignored extensive
training that he received so we are pleased that the authorities are
pursuing action against him,” Tiffany Galvin, a Goldman spokeswoman, said
in a statement.
on his co-workers and used the inside information to make nearly half a
million in illicit profits, regulators alleged in court papers.
Yue “John” Han, an associate in Goldman’s surveillance group, made $460,
000 trading stocks before fleeing to China, the Securities and Exchange
Commission said in a complaint filed Wednesday.
The 30-year-old Chinese citizen joined the investment bank in December and
worked in compliance, where he was tasked with keeping an eye on his co-
workers. But it turned out that it was Han who needed watching, the SEC said.
“We allege that Han’s employer gave him access to confidential information
so that he could help the firm detect and deter illegal activity, but he
betrayed that trust by using the information for his own profit,” Joseph
Sansone, co-chief of the SEC’s market abuse unit, said in a statement.
From July to October, Han plundered the private communications of Goldman
dealmakers and traded in personal accounts in his and a relative’s name.
Han “could access the e-mails of Goldman Sachs’ employees — including
employees in the firm’s investment banking division, which was responsible
for advising clients on M&A transactions — without alerting the employees
themselves,” the SEC said.
Han traded in the stocks of four companies: Yodlee, a tech firm, online
retailer Zulily, media research firm Rentrak, and KLA-Tencor, a computer
chip maker, according to the complaint.
Han left Goldman Oct. 9 and fled to Shanghai less than two weeks later,
where he is believed to reside, the SEC said.
The SEC has since frozen Han’s assets.
“If the allegations are true, Han violated our trust and ignored extensive
training that he received so we are pleased that the authorities are
pursuing action against him,” Tiffany Galvin, a Goldman spokeswoman, said
in a statement.