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Recent Posts in Short Selling Category

Wedbush Securities Fined $675,000 for Supervisory Violations in 'Chronic' ETF Delivery Failures, Short Sales

FINRA and NASDAQ jointly censured and fined Wedbush Securities, Inc. $675,000 for supervisory failures related to redemption and trading of leveraged exchange-traded funds ("ETFs"), which ...
Continue reading "Wedbush Securities Fined $675,000 for Supervisory Violations in 'Chronic' ETF Delivery Failures, Short Sales" »

Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate

FINRA suspended former Wilson-Davis & Co., Inc. broker Anthony "Tony" Benedict Kerrigone and fined him $10,000 for placing orders to short sell low-priced stocks and failing to locate ...
Continue reading "Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate" »

'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling

FINRA fined Southern California-based StockCross Financial Services $800,000 for short-selling without first borrowing or delivering transacted shares for settlement as required by the SEC's ...
Continue reading "'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling" »

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

FINRA fined Morgan Stanley & Co. LLC a total of $2 million for a six-year-long period of violations related to short sales and short interest reporting. Investigators wrote that the problem ...
Continue reading "Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations" »

Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures

FINRA fined Merrill Lynch Professional Clearing Corp. $3.5 million for violating SEC rules regarding short sales and affiliated broker-dealer Merrill Lynch, Pierce, Fenner & Smith Incorporated ...
Continue reading "Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures" »

Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures

FINRA ordered Citigroup Global Markets, Inc. to pay $1.1 million in connection with illegal short sales effected prior to participating in five public offerings of securities. The $1.1 million ...
Continue reading "Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures" »
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