Regulation SHO - Going Public Lawyers

When Short Sellers Hit Cannabis Stocks

When Shorts Hit Cannabis Stocks When a public stock’s price declines, it has become common practice for penny stock issuers and their disciples to scream foul play, typically claiming on message boards like Investor’s Hub that their company… Read More

Morgan Stanley Fined $2 Million for Short Sale & Short Interest Reporting

On May 3, 2015, The Financial Industry Regulatory Authority (FINRA) announced it has fined Morgan Stanley & Co. $2 million for short sale and short interest reporting and rule violations that spanned a period of more than six years,… Read More

Short Sales Q & A – Securities Lawyer 101

Posted By Brenda Hamilton, Securities Lawyer Short Sales Q & A A short sale transaction can be part of a legitimate trading strategy. It is often endorsed for its beneficial effects on the securities markets, which include increasing… Read More

Short Swing Profits Q & A By: Brenda Hamilton Securities Lawyer

Posted by Brenda Hamilton, Securities and Going Public Lawyer The “Short Swing Profit” rules were created to prevent insiders, who have greater access to material company information, from taking advantage of information for the purpose of making short-term… Read More

SEC Charges Five With Short Sale Violations

Securities Lawyer 101 Blog The Securities and Exchange Commission (“SEC”) has charged five short sellers who were traders for committing short selling violations. According to the SEC, the short sellers were trading for themselves and Worldwide Capital Inc., a Long Island, N.Y.-based proprietary firm that earlier this… Read More

SEC Charges Four Pension Officials for Regulation SHO Violations

Securities Lawyer 101 Blog On May 19, 2014, the Securities and Exchange Commission (“SEC”) announced charges against four former officials at clearing firm Penson Financial Services for their roles in Regulation SHO violations. An SEC investigation found that… Read More

Bangers, Bashers & Short Sellers l Regulation SHO

Securities Lawyer 101 Blog When a manipulated stock’s price declines, it has become common practice for penny stock issuers and their disciples to scream foul play and claim their company is the victim of a stock basher-naked short sellers… Read More

What Is a Naked Short Sale? Securities Lawyer 101

Securities Lawyer 101 Blog The Short Seller Scape Goat In recent years, the activities of short sellers have been the subject of controversy.  While short selling is a simple process it is widely misunderstood.  While the average investor… Read More

SEC Charges College Professor, Gonul Colak, in Naked Short Selling Scheme

Securities Lawyer 101 Blog On January 31, 2014, the Securities and Exchange Commission charged two Florida college professors with perpetrating a complex naked short selling scheme for more than $400,000 in illicit profits.

SEC Takes Action Against Potential Short Sellers For Manipulation

Securities Lawyer 101 Blog On September 16, 2013, the Securities and Exchange Commission (the “SEC”) brought enforcement actions against more than 20 broker dealers and other financial firms alleging violations of Rule 105 of Regulation M of the… Read More