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Browse: Home / Short Selling

Short Selling

SEC Charges Two College Professors in Naked Short Selling Scheme — SEC Press Release

By Securities Docket on February 3, 2014, 7:49 am

The Securities and Exchange Commission today charged a pair of college professors in Tallahassee, Fla., with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits. via SEC Charges Two College Professors in Naked Short Selling Scheme — SEC Press Release

Posted in SEC, Top | Tagged Short Selling

SEC Orders More Than Two Dozen Hedge Funds to Produce Trading Information in Rumors Probe

By Securities Docket on September 25, 2008, 6:21 am

The SEC has ordered more than two dozen hedge funds to hand over trading information as part of its effort to crack down on false rumors and abusive short selling, the WSJ reports this morning. In the order that went out to hedge funds dated September 22, the SEC reportedly referenced six financial institutions that […]

Posted in SEC | Tagged Features, Investigations, Short Selling

Diamond Hill Investment Group Says "No Thanks" to Short-Selling Ban

Diamond Hill Investment Group Says “No Thanks” to Short-Selling Ban

By Securities Docket on September 22, 2008, 2:40 pm

It is unclear what the upside to the company is in doing this, but via Dealbreaker we see what appears to be the first company to say “no thanks” to the SEC’s “no shorting” protection: NASDAQ issuer Diamond Hill Investment Group, Inc. (DHIL) has voluntarily opted-out of NASDAQ’s list of Covered Securities under the SEC’s […]

Posted in SEC | Tagged Features, Regulation, Short Selling

Short Selling Prohibitions Quickly Spreading Internationally

By Securities Docket on September 22, 2008, 6:37 am

First France, Germany, Ireland, Switzerland, Canada, and the UK followed the US in banning all short-selling of financial stocks.  Now other countries are following, including Australia, which took the ban even further over the weekend by announcing that it was banning short selling in all stocks — both financial and non-financial (other than existing hedge positions, […]

Posted in Regulation, SEC | Tagged Australia, Canada, Holland, Short Selling

List of 799 Financial Firms Subject to SEC’s Sept. 18 Emergency Order

By Securities Docket on September 19, 2008, 9:54 am

Below are the 799 financial firms that are listed (with ticker symbol) in the SEC’s Sept. 18, 2008 Emergency Order temporarily prohibiting short selling.  The SEC’s Emergency Order also is available at the link below. Sept. 18, 2008 Emergency Order AAME ATLANTIC AMERICAN CORP AANB ABIGAIL ADAMS NATL BANCORP INC ABBC ABINGTON BANCORP INC PA […]

Posted in SEC | Tagged Regulation, Short Selling | 1 Response

SEC Orders Temporary Halt to Short Selling of 799 Financial Companies

By Securities Docket on September 19, 2008, 6:09 am

Sometime in the very early hours of Friday morning, the SEC issued an announcement that it has halted short selling of financial stocks effective immediately. The Commission stated that it was acting in concert with the U.K. Financial Services Authority, which took similar action yesterday. The action will apply to the securities of 799 financial […]

Posted in SEC | Tagged Features, Regulation, Short Selling

Harvey Pitt

Harvey Pitt to Assist Alabama in Naked Short Selling Investigation

By Securities Docket on August 20, 2008, 1:03 pm

Harvey Pitt, former chairman of the SEC, was appointed Tuesday as a deputy attorney general for Alabama.  According to the Press Register, Pitt has agreed to an unpaid position in which he will help Alabama investigate possible naked short selling abuses, and will focus on a case involving Montgomery-based Colonial BancGroup, which has seen its shares plummet under […]

Posted in Criminal | Tagged Lawyers, Short Selling

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