RGM Communications Inc.
#307 - 475 Howe Street
Vancouver, BC, Canada
V6C 2B3
http://www.rgm.com/
Listed below are a large number of public information articles and reports detailing the brokerage houses, marketmakers and the conduct of the main "street" characters engaged in the illegal practice of "naked short selling", "death-spiral financing", "failure to delivers (FTDs)" and/or stock fraud. This page is a resource for anyone wishing to educate themselves regarding the depth and breath of these illegal activities. Please note that some of the articles may have been added out of time sequence because they were discovered weeks or months after publication. All the dates are, to the best of our knowledge, when they came into the public domain. If you find additional public information elsewhere on this subject, please forward the published information or hyperlink to rgodwin@rgm.com for review and posting. Thank you.
For other excellence sources of information regarding "naked short selling", FTDs and the abuses of the market place, please reference http://www.thesanitycheck.com/ or http://www.investigatethesec.com.
Notice to all Shareholders and Companies
affected by Naked Short Selling Add your voice and be part of the solution. Help to institute an independent investigation into the misconduct of the Securities and Exchange Commission (SEC). We are requesting that there be an independent investigation by the United States Congress or Senate into the conduct of the SEC regarding the manipulative, abusive and illegal trading practice known as "naked short selling". We also request that they investigate why this illegal trading practice has been allowed to exist by the SEC for over a decade without any significant enforcement. As John Kenneth Galbraith stated in his book, The Great Crash 1929: "Regulatory bodies, like the people who comprise them, have a marked life cycle. In youth, they are vigorous, aggressive, evangelistic, and even intolerant. Later they mellow and in old age - after a matter of 10 or 15 years - they become, with some exceptions, either an arm of the industry they are regulating or senile." Since at least the mid 1990’s, the SEC has been aware of naked short selling and has failed to adequately respond to investor and Company complaints alike. In recent years the Federal Bureau of Investigation, the Royal Canadian Mounted Police and the SEC have conducted numerous investigations into naked short selling and have followed these illegal stock sales through to money laundering and other illegal schemes. As a result of the lack of diligent enforcement of their own trading rules by the SEC, every private investor has had their financial integrity jeopardized. Whether its private ownership of common shares, ownership of a mutual fund or participation in a company pension plan, every investor is having money stolen from their pocket by these criminal schemes. By their lack of enforcement and passive neglect, the SEC is therefore guilty of aiding and abetting criminal activities. Since the SEC has failed to take adequate counter measures to stop illegal short selling and trading by members of the financial investment industry, we are demanding an independent examination by the United States Congress or Senate as to the reasons for their years of inaction. |
Conde Nast - Portfolio.com
The End
by Michael Lewis
Nov 11 2008
New York Times
S.E.C. Judge Says Pequot Case Wasn’t
Mishandled
By
Bloomberg.net
Fed Defies Transparency Aim in Refusal to Disclose
By Mark Pittman, Bob Ivry and Alison Fitzgerald
November 10, 2008
Bloomberg.net
Cox's SEC Censors Report on Bear Stearns Collapse
By
Mark Pittman, Elliot Blair Smith and Jesse Westbrook
October 7, 2008
ABC
News
SEC Gave "Preferential Treatment" to
Wall Street CEO
By
Brian Ross and Rhonda Schwartz
October 6, 2008
Condé
Nast Portfolio
Portfolio.com
UBS and the Diamond Smuggler
By Paul
Sullivan
October, 2008
Forbes.com
Guest commentary
Naked in Wonderland
By Patrick Byrne
September 23, 2008
The Washington Post
Calling Out the Culprits Who Caused the Crisis
By Eric D. Hovde
September 21, 2008
Associated Press
SEC Bans Short-Selling of 799 Financial Stocks
By Marcy Gordon, AP Business Writer
September 19, 2008
Bloomberg.com
Bringing Down Bear Began as $1.7 Million of Options
By Gary Matsumoto
August 11, 2008
Vanity Fair
Bringing Down Bear Stearns
By Bryan Burrough
August 2008
Forbes.com
Protection For All
Guest commentary
By Roel Campos
July 31, 2008
Investor's
Business Daily
Naked Short Selling Is One
Problem A Slumping Market Shouldn't Have
By Christopher Cox
July 17, 2008
The Salt Lake Tribune
VesCor Swindler in Utah's Largest Fraud Sent to Prison
By Tom Harvey
June 12, 2008
New York Times
From a Whistle-Blower to a Target
By Tim Arango
June 9, 2008
International Herald Tribune
A Crook Who Doesn't Know When to Stop
By Joe Nocera
June 7, 2008
The Salt Lake Tribune
VesCor Escaped Scrutiny in 2005
By Tom Harvey
June 7, 2008
MarketWatch.com
Lawsuit Alleging Conspiracy with Naked TASER Shares
May 28, 2008
Global Research
The Secret Bailout of J.P. Morgan
By Ellen Brown
http://www.globalresearch.ca/
May 14, 2008
Regulation Magazine
The "Phantom Share" Menace
By John W. Welborn
April 24, 2008
Canada StockWatch
CMKM Diamonds Player Named in $64-million SEC Lawsuit
by Lee M. Webb
April 8, 2008
U.S. Securities and Exchange Commission
SEC Charges Fourteen in CMKM Diamonds Scheme
April
7, 2008
The Australian
The Naked Truth: Short Selling Must be Banned
by Terry McCrann |
April
05, 2008
Canada StockWatch
Conversion Solutions Case Gathers Dust in Georgia
Court
by Lee M. Webb
April 2, 2008
The Dallas Morning News
SEC Sues Penny Stock Traders, Alleging
Manipulation
By Eric Torbenson
March 14, 2008
Orlando Sentinel
Former Boy-Band Mogul Lou Pearlman says he will
cooperate in Fraud Case
By Jim Leusner
March 6, 2008
The Miami Herald
Broker who Prayed with Clients is Said to have Bilked
Them
By Dan Christensen
February 18, 2008
Bloomberg.com
Ackman Devoured 140,000 pages to Prove "MBIA was
never AAA"
By Christine Richard and Katherine Burton
January 31, 2008
Canada StockWatch
CMKM Sees Old Gem Play Make Final Flop
By Will Purcell
January 28, 2008
The New Statesman
Societe Generale Hit by €5 Billion Trading
Fraud
By Patrick Hosking
January 24, 2008
MotherJones.com
Let There Be Light Crude: Zion's Holy Profits
By Mariah Blake
January/February 2008 Issue
U.S. Securities and Exchange Commission
SEC Charges Lines Brothers and others in Sedona scam
Litigation Release No. 20407
December 19, 2007
New York Times
Real Estate Executive with Hand in Trump Projects Rose
from Tangled Past
By Charles V. Bagli
December 17, 2007
New York Times
Quick, Call Tech Support for the S.E.C.
By Gretchen Morgenson
December 16, 2007
The Washington Times
Phantom Shares
Commentary by Jonathan E. Johnson III
November 21, 2007
http://www.alternet.org
1929 Redux: Heading for a Crash?
By Robert Kuttner
November 13, 2007
Vanity
Fair
Mad About the Boys
by Bryan Burrough, Vanity Fair special correspondent.
November 2007
CCH Wall Street
Short Sell Scam Nets Kick Backs
By Frank Schloegel
October 26, 2007
BusinessWeek.com
Bear Stearns' Bad Bet
By Matthew Goldstein and David Henry
October 11, 2007
Johann Wolfgang Goethe-Universität
The Rise and Effects of the Indirect Holding System:
How Corporate America Ceded its
Shareholders to Intermediaries
David C. Donald
September, 2007
Bloomberg.com
Gold fields Bidder Takes Twisted Path From Shelter to
Argentina
By Divid Dietz, David Glovin and Christopher Donville
August 31, 2007
Canada StockWatch
Entourage Mining sues CMKM Diamonds
By StockWatch Business Reporter
With files from Lee M. Webb
August 30, 2007
The
New York Times
Report Says S.E.C. Erred on Pequot
By Gretchen Morgenson and Walt Bogdanich
August 4, 2007
Canada StockWatch
SEC Spamming Targets Tied to VSE Alumnus Kamerling
By Lee M. Webb
July 2, 2007
Newsday.com
Ex-Allou CEO Jacobowitz gets 15 Years for Fraud
By Robert E. Kessler
August 1, 2007
BusinessWeek.com
Refco: When Smart Money Isn't So Smart
By Matthew Goldstein
July 13, 2007
www.counterpunch.org/
A Subprime Chernobyl?
By Mike Whitney
July 1, 2007
St. Petersburg Times
Invention was Too Good to be True
By Leonora Lapeter Anton
July 1, 2007
The Dallas Morning News
Ex-SEC Lawyer Accused of Stock Scam
By Michael Grabell
June 15, 2007
Canada StockWatch
OSC Targets Toronto Transfer Agent's Pinky Players
By Lee M. Webb
June 11, 2007
The Boston Globe
Investors Lost Trust and Millions
By Sacha Pfeiffer
May 14, 2007
International
Herald Tribune
When Lawyers Sanction Fraud
By Floyd Norris
May 3, 2007
Bloomberg.com
FBI Finds Online Fraud
Aimed at Hotel Guests, Internet Cafes
By Robert Schmidt
May 3, 2007
The Herald-Star
Embroiled with Wall Street
By Paul Giannamore
April 27, 2007
New York Magazine
Get Richest Quickest
By Steve Fishman
April 16, 2007
Canadian
Business Magazine
Fairfax: The
Emperor Strikes Back
By Rachel Pulfer
March 26, 2007
Bloomberg.com
Video article on naked Short Selling
This video is no longer available due to a copyright claim by Bloomberg L.P
Part 1. http://www.youtube.com/watch?v=Bfi3Hxasm2s
Part 2. http://www.youtube.com/watch?v=RYUU2qZOcM0
Part 3. http://www.youtube.com/watch?v=taLhQoTvTLw
March 14, 2007
Fortune Magazine
The Inside Story of a Wall Street Battle Royal
By Bethany McLean
March 6, 2007
The U.S. Securities and Exchange Commission
SEC Charges 14 in Wall Street Insider Trading Ring
March 1, 2007
The Toronto Star
Police Link Organized Crime to Stock Scam
By Tony Van Alphen & Nick Pron
February 28, 2007
The Salt Lake Tribune
Tempers Flare over Ending Utah Law
By Bob Mims
February 27, 2007
The New York Times
SEC is Looking at Stock Trading
By Jenny Anderson
February 6, 2007
Forbes.com
Naked Short Victim Strikes Back
By Liz Moyer
February 2, 2007
Bloomberg.com
Former Milberg Plaintiff to Plead Guilty in Probe
By Edvard Pettersson
January 31, 2007
Bloomberg.com
SEC's Cox Stalls Options Crackdown
By Otis Bilodeau
January 31, 2007
Forbes.com
Sewer Pipes
By Nathan Vardi
January 26, 2007
Forbes.com
Naked and Confused
By Liz Moyer
January 26, 2007
Bloomberg.com
Refco's Grant Accused of Helping Defraud Investors
By David Glovin
January 16, 2007
The Montreal Gazette
Quebecer Fined in Pump and Dump Scheme
By Don MacDonald
January 10, 2007
New York Post
SEC Raps Hedgie in Canadian Short Ploy
By Roddy Boyd
January 8, 2007
Year 2006
Novastar Financial, Inc.
Motion to remand the action to Federal court was denied.
December 30, 2006
Associated Press
Wall Street Bonuses Flood NYC's Economy
By Adam Goldman
December 19, 2006
Bloomberg.com
Amaranth's Slide Began With Offer to Keep Star Trader
By Katherine Burton and Jenny Strasburg
December 6, 2006
New York Post
D.C. Mack Attack: Pols Slam SEC’s Probe of Pequot
By Roddy Boyd
December 6, 2006
Fortune Magazine
Milberg Weiss Indicted for Allegedly Paying $11.4M
Kickbacks
By Peter Elkind
October 31, 2006
New York Post
KBR's IPO Oddity
By Chris Byron
October 30, 2006
New York Magazine
Take the Hedge-Fund Money and Run
By Robert Kolker
October 30, 2006
Bloomberg.com
SEC Will Be Investigated
in Probe Sought by Senate's Grassley
By Otis Bilodeau
October 26, 2006
The New York Times
S.E.C. Inquiry on Hedge Fund Draws Scrutiny
By Walt Bogdanich and Gretchen Morgenson
October 22, 2006
Letter to SEC proposed
"Amendments to Regulation SHO"
North American Securities Administrators Association
October 4, 2006
Canada StockWatch
CMKM Diamonds makes the Big Times in NYT article
by Lee M. Webb
October 4, 2006
Canada StockWatch
CMKM Diamonds Features in NASD Enforcement Action
By Lee M. Webb
September 29, 2006
National Association of Securities Dealers, Inc.
NASD Charges NevWest Securities Corporation and Principals
with Violating Anti-Money Laundering Rules
September 26, 2006
Letter to SEC proposed
"Amendments to Regulation SHO"
By NCANS (The National Coalition Against Naked Shorting)
September 18, 2006
Letter to SEC proposed
"Amendments to Regulation SHO"
By Robert J. Shapiro
September 14, 2006
Letter to SEC proposed
"Amendments to Regulation SHO"
By Research Capital Corporation
September 6, 2006
Letter to SEC proposed "Amendments to
Regulation SHO"
by Susanne Trimbath Ph.D.
August 29, 2006
Forbes.com
Naked Justice?
By Liz Moyer
August 29, 2006
Bloomberg.com
Naked Short Sellers Hurt Companies With Stock They
Don't Have
Same article in .pdf format
Naked Short Sellers Hurt Companies With Stock They Don't
Have (.PDF Format)
By Bob Dummond
August 4, 2006
Bloomberg News
Go Short, Mildred - the Kids Are Taking Over
By Susan Antilla
August 3, 2006
Reuters News Service
Eight Wall Street Stockbrokers Indicted for Fraud
By Jeanne King
August 2, 2006
New
Statesman
London, England
Sell-Out - Why Hedge Funds will Destroy the World
By Janet Bush
July 31, 2006
The
Globe & Mail
Fairfax the Latest to Join Fight on
Hedge Funds
By Sinclair Stewart and Paul Waldie
Copy of the Fairfax Financial lawsuit
July 28, 2006
Forbes.com
Hedge Fund Hell
By Liz Moyer
July 28, 2006
San Gabriel
Valley Tribune
Lawsuits Accuse "Prime Brokers" of Securities
Fraud
By
Wayne Jett
July 19, 2006
Forbes.com
Covering Up Naked Shorts
By Harvey Pitt
July 11, 2006
New York Post
Dismantle the SEC
By Christopher Byron
July 3, 2006
New York Post
Morgan's Lawyers were "Handcuffed"
By Paul Tharp
June 29, 2006
St. Paul Pioneer Press
Deutsche Bank Settles Fraud Case
By Sheryl Jean
June 29, 2006
Forbes.com
Hedge Hogs
By Liz Moyer
June 28, 2006
The Guardian
Investigator claims he was Fired for Hedge Fund Inquiry
By Andrew Clark in New York
June 24, 2006
Letter from Gary J. Aguirre, LL.M to
Chairman Christopher Cox, S.E.C., September
2, 2005
and the
Subcommittee on Securities and
Investment May 30, 2006
The New York Times
S.E.C. is Reported to be Examining a Big Hedge Fund
By Walt Bogdanich and Gretchen Morgenson
June 23, 2006
The Financial Times
Prime Brokers Selling Hedge Fund
Exposure
By Gillian Tett
June 22, 2006
Bloomberg.com
Refco Bank Hid $1 Billion Loss From Hedge Funds, Arafat
Casino
By Vernon Silver and Otis Bilodeau
June 22, 2006
Bloomberg News
Prison Sentence for a Short-Seller
June 20, 2006
Pasadena Star-News
“Phantom”
stock shares lead to civil suit
June 16, 2006
MarketWatch
Naked' Short Selling is Center of Looming Legal Battle
By Alistair Barr
June 14, 2006
The Lincoln Journal Star
Brokers in an Uproar over Utah Law
Cracking Down on "Naked Short Selling"
The Salt Lake Tribune
Bill would Crack Down on illegal "Naked Short
Selling"
By Bob Mims
May 24, 2006
United States Government Indictment
for Milberg Weiss Bershad &
Schulman
May 19, 2006
The Vancouver Sun
Stock Promoter's Divorce Reveals Life of Luxury
By David Baines
May 13, 2006
Canada StockWatch
SEC names Deephaven Capital in Shorting Suit
May 3, 2006
The Financial Times
Canada StockWatch
Zi guy Lauer asks U.S. court to clarify contempt order
by Lee M. Webb
April 26, 2006
The Philadelphia Inquirer
Masterminding a firm's demise?
April 23, 2006
The Globe
and Mail
The Banker, his Buddy, a CEO and a
Crippling Stock Scam
By Paul Waldie
April 21, 2006
Canada StockWatch
IDA, BCSC and RS fine Union Securities $1.77-million
April 18, 2006
Vodia Group LLC
Primer on Hedge Fund Legal Actions
By Josh Galper
April 17, 2006
HedgeWorld.com
SEC Issues Guidelines on Subpoenaing Reporters
By Christopher Faille
April 12, 2006
The Brussels Journal
Austrian Bank Scandal: When Socialists Play With
Money
By Chris Gillibrand
April 4, 2006
Canada StockWatch
SEC-aided Mob Bucket Shop Bust Surprises Brokerage
by Lee M. Webb
March 30, 2006
Canada StockWatch
SEC Helps Nab Alleged New York pump and dump Mobsters
By Lee M. Webb
March 24, 2006
Canada StockWatch
Elgindy makes Final Leniency Plea
by Lee M. Webb
March 22, 2006
Bloomberg.com
Refco Probes Lead to $525
Million in Phantom Bonds, Hedge Fund
March 15, 2006
Canada StockWatch
SEC Shorting Target was Served by Canadian Broker
by Stockwatch Business Reporter
March 14, 2006
New
York Post
CIA Money Trail
By Chris Byron
March 13, 2006
Bloomberg Markets
Corporate Voting Charade
By Bob Drummond
April 2006
New York Post
SEC: Gone Fishin'
By Chris Byron
March 6, 2006
Canada StockWatch
Elgindy Slammed by U.S. Attorney
By Lee M. Webb
March 3, 2006
The Globe and Mail
A Boxer and Drug Baron's Unlikely Alliance
By Leonard Zehr and Paul Waldie
March 2, 2006
The Globe and Mail
New Legal Strategy: Show your Hand Early
By Jacquie McNish
March 1, 2006
Houston Chronicle
Corporate reform dead; SEC chief should resign
By Loren Steffy
February 28, 2006
The New York
Times
Claiming Stock Manipulation,
Biovail Sues Hedge Fund
By Jenny Anderson
February 23, 2006
Biovail
Corporation
Lawsuit filed in New Jersey Superior
Court
February 22, 2006
TheStreet.com
TradeStation Caught Up in Shorting Probe
By Matthew Goldstein
February 20, 2006
New York Post
Naked Shorting Targeted
By Roddy Boyd
February 16, 2006
Reuters
JPMorgan faces $2.2B Fraud Lawsuit over Bonds
February 3, 2006
The Boston Globe
Manipulation and Markets
By Steven Syre
January 31, 2006
Canada StockWatch
TSX-V's Global hears client Elgindy plead for leniency
By Lee M. Webb
January 26, 2006
Bloomberg.net
Silver Trader Armstrong Seeks to Get Out of Jail
After 6 Years
By David Glovin
January 24, 2006
The Philadelphia Inquirer
Suit blames hedge fund for shares' decline
By Todd Mason
January 18, 2006
Year 2005
Pending Settlement Announced in MJK Clearing
Litigation
MJK Clearing settlement
motion.pdf
December 21, 2005
Canada Stock Watch
Entourage bows out of one bowser CMKM Diamonds deal
by Lee M. Webb
December 6, 2005
Canada Stock Watch
CMKM Unveils Liquidating Master Plan
by Lee M. Webb
November 7, 2005
Finfacts Ireland – Business & Finance Portal
Deloitte's failed BCCI case against Bank of England cost
£100 million;
Multinational bank was "the largest case of organized crime in history"
http://www.finfacts.com/irelandbusinessnews/publish/article_10003808.shtml
November 3, 2005
Canada Stock Watch
CMKM and St. George get the Hook
by Lee M. Webb
October 31, 2005
The Financial Express
Pitfalls ahead in new SEBI Proposal
By Sucheta Dalal
October 24, 2005
New York Post
Lancer Lobby Loot Tale
By Christopher Byron
October 24, 2005
Bankruptcy
Creditors' Service, Inc.
Refco Bankruptcy News
October 19, 2005
The
Toronto Star
Charges laid in Hedge Fund Scandal
By
James Daw
October
6, 2005
New York Post
Overgrown Hedges
By
Christopher Byron
September 26, 2005
http://www.faulkingtruth.com/
Congress Sells America Short
By Mark Faulk
September 20, 2005
TheStreet.com
Naked Truth Dressed to Baffle
By Kevin Kelleher
August 29, 2005
TheStreet.com
Naked Before Byrne
By Kevin Kelleher
August 18, 2005
The Seattle Times
Drug researchers Leak Secrets to Wall Street
By Luke Timmerman and David Heath
August 7, 2005
Overstock.com sues Short-Seller Rocker
Partners
August
11, 2005
New York Post
Simmering Swindle
By Christopher Byron
July 25, 2005
New York Post
Faulty Regulator
By Christopher Byron
June 27, 2005
United States Attorney's Office
Former FBI Agent Pleads Guilty to Obstruction of Justice
June 23, 2005
National Association of Securities Dealers, Inc.
NASD Charges Scott W. Ryan with Impermissible Short Selling
June 13, 2005
Canada StockWatch
CMKM tagged as an egregious violator
By Lee M. Webb
June 6, 2005
National Association of Securities Dealers, Inc.
Hedge Fund Manager Hilary Shane Barred
May 18, 2005
The Street.com
Refco Faces SEC Charges in Short-Selling Probe
By Matthew Goldstein
May 17, 2005
New York Post
The Ionatron Bomb
By Christopher Byron
May 9, 2005
New York Post
Spooky Situation
By Christopher Byron
May 2, 2005
New York Post
Penny Stock Spies
By Christopher Byron
April 25, 2005
Securities Exchange Commission
SEC Charges Former SG Cowen Managing Director with Insider
Trading and Fraud
Washington, D.C., April 21, 2005
http://www.sec.gov/news/press/2005-61.htm
Casinos, Markets and the Philosophy Of
Manipulation
Commentary by Bob O'Brien
Sunday, April 10, 2005
Fordham University Graduate School of Business
Short Selling, Death Spiral Convertibles, and
the Profitability of Stock Manipulation
By John D. Finnerty
Professor of Finance
March, 2005
South Florida Business Journal
Brokerage tied to a top figure in mob case
By Jim Freer
March 31, 2005
The Motley Fool
Who's Behind Naked Shorting?
By Karl Thiel
March 30, 2005
Washington Legal Foundation
What's Up With The SEC?
By Daniel J. Popeo, Chairman
March 28, 2005
The National Coalition Against Naked Shorting
Windows Media Player
http://tinyurl.com/5vq8y
March 25, 2005
Check out this independent video news feature that includes amongst others, Dr. Patrick
Byrne of Overstock.com, Dr. James Angel, one of the foremost authorities on the capital
markets, and Bob O'Brien.
The Motley Fool
The Naked Truth on Illegal Shorting
By Karl Thiel
March 24, 2005
New York Post
Too Little, Too Late
By Christopher Byron
March 14, 2005
U.S. Securities and Exchange Commission
CIBC Mellon Trust agrees to pay $6 Million for Fraudulent
Scheme
http://www.sec.gov/litigation/litreleases/lr19081.htm
February 16, 2005
Samex Capital Partners
U.S. Stock Market Commentary on "Naked Short
Selling"
February 7, 2005
The Globe and Mail
U.S., Canadian
Regulators Charge Trio of Hedge Fund Managers
By Michael Flaherty
February 5, 2005
Associated Press
Jury Finds Elgindy Guilty of Fraud in Stock Scheme
January 24, 2005
New York Post
NASD Scores in 'Crooklyn'
By Paul Tharp
January 14, 2005
National Association of Securities Dealers, Inc.
NASD Panel Expels Yankee Financial for Fraud
January 13, 2005
New York Post
Shame on the SEC
By Christopher Byron
January 10, 2004
United States Department of Justice
Florida Internet Stock Promoter Admits Securities Fraud
Newark, NJ
January 5, 2005
Year 2004
New York Post
Feds' Double Take
By Christopher Byron
December 20, 2004
Christianity Today
The Fraudbuster
http://www.christianitytoday.com/ct/2005/001/12.28.html
Securities & Exchange Commission
SEC, NASD Sanction Knight Securities $79 Million for Fraud
December 16, 2004
Triangle Business Journal
http://triangle.bizjournals.com
Penny stock tied to Local Fitness Outfit
December 10, 2004
The New
York Post
Weill, Grubman Must Face Suite
By Holly M. Sanders
December 4, 2004
University of New Mexico
Strategic Delivery Failures in U.S. Equity
markets
Ms.
Leslie Boni
November 13, 2004
New York Times
Judge in Stock Adviser's Trial Bars Testimony on
Terrorism
By Eric Dash
November 9, 2004
The
New York Post
FBI Agent Fed Stock Guru Risky Information
Staff Reporter
November 5, 2004
The New York Times
Stock Adviser, on Trial for Fraud, is Portrayed as a
Crusader
By Eric Dash
November 2, 2004
The
New York Times
Broker who Aided U.S. Going to Trial for Fraud
By Eric Dash
November 1, 2004
The New York Post
Travelzoo's Skidoo
By Christopher Byron
October 18, 2004
The New York Post
Pink Sheets Bluster
By Christopher Byron
October 11, 2004
The New York Post
Gagging the Market
By Christopher Byron
October 4, 2004
Canada StockWatch
CMKM Diamonds mired in outstanding muddle
By Lee Webb
October 1, 2004
http://www.thestreet.com
Hedge Fund Short-Sale Tactic Faces Uncertain Future
By Matthew Goldstein
September 16, 2004
BioWorld Financial
Days of "Naked" Short Selling in Biotech Might
be Numbered
http://www.bioworld.com/
By Randall Osborne, Editor
August 30, 2004
The New York Post
Wall Street Scofflaws
By Christopher Byron
August 23, 2004
The New York Post
Pink-Sheets Strumpet
By Christopher Byron
August 16, 2004
The New York Post
Prosecution Fumbles
By Christopher Byron
August 2, 2004
National Association of Securities Dealers, Inc.
NASD Bars scott Ryan, Expels Ryan & Company in Short
Sale Probe
July 8, 2004
www.faulkingtruth.com
Who's Looking out for You?
By Mark Faulk
June 27, 2004
St. Louis Post Dispatch
Rogue brokers resurface overseas
By Christopher Catey
June 14, 2004
The New York Post
PIPE Deals Smoking
By Christopher Byron
June 1, 2004
The
Cincinnati Post
Short selling scheme hits from Berlin
By Jon Newberry
May 29, 2004
The Financial Times
Berlin-Bremen listings abuse rules
By Norma Cohen in London
May 14, 2004
www.financialwire.net
DTCC Chief Spokesperson Denies Existence
of Lawsuit
May 11, 2004
Text of the Lawsuit between
Nanopierce technologies, Inc., a Nevada corporation;
Stephen Seitz, an individual; and Jane Seitz, an individual,
Plaintiffs,
- against -
The Depository Trust and Clearing Corporation; the Depository
Trust Company;
and the National Securities Clearing Corporation
Defendants.
April 29, 2004
Newsday, Inc.
Bail yanked for Wall Streeter
By Anthony M. Destefano
April 19, 2004
TheStreet.com
Looking Out for Desperation Finance in PIPEs Deals
By Matthew Goldstein
April, 9, 2004
Dow Jones Newswires
Penny-Stock Company Says SEC Harassing it for Speaking Out
By Judith Burns
March 19, 2004
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Dow Jones Newswires
(The above article has been removed from viewing at the request of Dow Jones
Newswires. To view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
The Financial Times
The heat is on for funds' Pipe strategy
by Jason Huemer
March 15, 2004
National Association of Securities Dealers, Inc.
NASD Charges Advantage Trading Group, Inc. and its Trade
Desk Manager
with Creating False Trading Records to Mislead Investigation
http://www.nasdr.com/news/pr2004/release_04_013.html
March 8, 2004
National Association of Securities Dealers, Inc
NASD delays "Naked Short selling" help yet again!
February 17, 2004
Canada StockWatch
TSX -V firms Global, Union fail on shorting application
February 10, 2004
San Antonio Business Journal
Two San Antonio firms claim fraud stinging stock
By Mike W. Thomas
February 2, 2004
Dow Jones Newswires
NASD Tightens Short Selling/Delivery Rule
Carol S. Remond
January 23, 2004
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Flashpoints News Radio, KPFA, Berkeley, USA
Enron: The
Anatomy of a Cover-Up
A Former Republican Insider Talks
Dennis Bernstein's interview with Catherine
Austin Fitts
January 20, 2004
MoneySense.ca
One way to clean up Canadian stock markets
by Larry MacDonald
January 8, 2004
U.S. Securities and Exchange Commission
Comments on Proposed Rule: Short
Sales
Comments by Russell K. Godwin
President, RGM Communications Inc.
January 2, 2004
Year 2003
Canada StockWatch
SEC bans WAMEX, Absolutefuture promoter DeTrano forever
by Brent Mudry
December 30, 2003
Canada StockWatch
SEC short target, brother face criminal charges in Sedona
case
by Brent Mudry
December 29, 2003
The Financial Times
LSE acts to solve Room Service short-selling
scandal
By David Blackwell
December 20, 2003
Dow Jones Newswires
Criminal Charges Brought In Sedona Short-Sale Case
By Judith Burns
December 10, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Business Week
Don't Force The Shorts To Get Dressed
by Gary Weiss
December 8, 2003
The Financial Times
FSA probes Room Service short-selling
By Elizabeth Rigby
December 6, 2003
The Financial Times
Shares in scandal-hit Room Service to resume trading
By Elizabeth Rigby
December 3, 2003
The Globe and Mail
Tougher stance urged on Securities Fraud
By Patrick Brethour
December 2, 2003
The Financial Times
Hedge funds fight back against accusations of stock
short-selling
By Elizabeth Rigby
November 29, 2003
The New York Post
Hedge Fund Field Day
By Christopher Byron
November 10, 2003
San Francisco Chronicle
Double whammy in stock fraud case: Short sellers trash, then
sue, Santa Clara tech firm
By Reynolds Holding, Chronicle Staff Writer
November 9, 2003
The Financial
Post
SEC targets ex-CIBC Mellon staffer in Bogus
Shares fraud
By Sean Silcoff
October 25, 2003
Dow Jones
Newswires
New SEC Rule Could Curtail OTCBB Shortselling
By Carol S. Remond
October 23, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Canada StockWatch
SEC known Kelly fraud trial results in hung jury
by Mort Lucoff in Miami and Lee M. Webb
October 16, 2003
Canada
StockWatch
SEC target Lancer featured in Kelly Bermuda Short trial
By Erik Schelzig in Miami
September 25, 2003
Dow Jones Newswires
SEC Looking To Overhaul Short-Selling Rules
By Judith Burns
September 24, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Canada StockWatch
SEC target Lancer receiver files initial report
By Lee M. Webb
September 11, 2003
The Street.Com
Figure in GenesisIntermedia Scheme Pleads Guilty
By Matthew Goldstein
September 11, 2003
Canada StockWatch
Zi a personal favourite of SEC target Lancer leader
By Lee M. Webb
September 8, 2003
Canada StockWatch
Zi short sellers zapped with forced buy-ins
By Lee M. Webb
September 5, 2003
Canada StockWatch
Zi booster cops a plea in Operation Bermuda Short case
by Lee M. Webb
August 22, 2003
The PIPEs Report - Painting The Tape
by Brett Goetschius
(As of December 14, 2005 the following articles have been removed from viewing at the request of PIPEs Report and DealFlow Media. To view the articles please go to the following web site http://www.dealflowmedia.com/)
Part #1 PIPE
Players Accused of Global Stock Scheme
July 1, 2003
Part #2 Anatomy of a Naked Short Scheme
July 15, 2003
Part #3
Draining the Naked Shorting Swamp
August 1, 2003
Dow Jones/Associated Press
Defendant
pleads guilty in FBI insider trading case
July 16, 2003
New York Post
The Lancer Papers
By Christopher Byron
July 14, 2003
Canada StockWatch
SEC targets Lauer's Lancer in first big hedge fund case
By Brent Mudry
July 11, 2003
Dow Jones Newswires
Elgindy & 4 others charged again with Insider Trading and Extortion
By Carol S. Remond
June 30, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Canada StockWatch
SEC files first suit in GenesisIntermedia debacle
by Brent Mudry
June 4, 2003
Investment Management Developments
SEC Brings Enforcement Action for Manipulating Stock Prices
Through Short Sales and Deceptive Covering Practices
By Harry S. Davis
Winter 2003 Edition
New York Post
Hedge Fund Hijinks
By Christopher Byron
April 14, 2003
Canada StockWatch
SEC targets Chicago tout Frank Custable
by Brent Mudry
April 3, 2003
Canada StockWatch
TSX member Global's client Elgindy noted in new charge
by Brent Mudry
March 25, 2003
Dow Jones Newswires
Elgindy Case Broadened With New Arraignment
By Carol S. Remond
March 24, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Business Wire
Fresh Del Monte Files Suit Charging
Conspiracy to Extort Money
March 19, 2003
The Financial Times
SEC widens probe into "death spiral" schemes
By John Labate in New York
March 9 2003
Canada StockWatch
SEC fines Rhino $1-million (U.S.) in Amro death spiral
by Brent Mudry
February 28, 2003
U.S. Securities and Exchange Commission
Rhino Advisors and Thomas
Badian get exposed
http://www.sec.gov/litigation/complaints/comp18003.htm
February 26, 2003
New York Times
Penny-Stock Fraud, From Both Sides Now
By Diana B. Henriques
February 16, 2003
Canada StockWatch
Pacific International in new Mafia indictment
by Brent Mudry
February 6, 2003
Red Herring
The Shell Game
By Christopher Byron
January 17, 2003
Red Herring
No Safe Haven
By Christopher Byron
January 17, 2003
The New York Times
Online Brokers Fined Millions In Fraud Case
By David Barboza
January 15, 2003
Dow Jones Newswires
Some Small Companies Get Physical To Fight Shorts
By Carol S. Remond
January 14, 2003
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
New York Post
Offshore Maelstrom
By Christopher Byron
January 13, 2003
The Globe & Mail
OSC seeks to suspend all of Valentine's trading
By Jacquie McNish
January 8, 2003
Year 2002
The Globe & Mail
Deutsche Bank, Nomura subsidiaries embroiled in lawsuit
By Karen Howlett
December 23, 2002
Canada StockWatch
Valentine's offshore Lemmon flips
by Brent Mudry
December 20, 2002
Canada StockWatch
Chell Group's chairman nabbed in boiler room raid
by Brent Mudry
December 18, 2002
Dow Jones Newswires
Canadian Regulators Review Naked Short Selling
By Carol S. Remond and Steve D. Jones
December 11, 2002
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Investment News
Prudential Securities new head's business associates under
cloud
by Bruce Kelly
December 11, 2002
The Globe & Mail
Trustee slaps former Thomson Kernaghan staff with suit
By Jacquie McNish
December 11, 2002
Dow Jones Newswires
Some Wall Street Firms to end Trade Processing
By Lynn Cowan and Cheryl Winokur Munk
December 4, 2002
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
The Daily Reckoning
The Law of Accelerating Returns
by James Davidson
November 27, 2002
Canada StockWatch
IDA bans, fines Kasman; one Rampart client (Jeffrey Ray
Senger) still in jail
by Brent Mudry
November 19, 2002
Globe & Mail, Report on Business
GeneMax battles short sellers
By Peter Kennedy, Vancouver
John Saunders, Toronto
November 18, 2002
Canada StockWatch
TSX member Deutsche Bank in major penny stock scandal
by Brent Mudry
November 14, 2002
Canada StockWatch
SEC halts 800America, notorious con man CEO arrested
by Brent Mudry
November 14, 2002
NASD
Fiero Bros. expelled from NASD for Naked Short Selling
News Release
October 30, 2002
The Toronto Star/Canadian Business Newsmagazine
Predator Or Prey?
by Matthew McClearn
October 28, 2002
Canadian Business Newsmagazine
Blame Canada
by Mark Brown
October 28, 2002
Canada StockWatch
BCSC-aided SEC fines Maid Aide rigger $378,000 (U.S.)
by Brent Mudry
October 21, 2002
Dow Jones Newswires
Brokerage Collapse hits Canadian Fund Hard
By Steven D. Jones
October 18, 2002
(The above article has been removed from viewing at the request of Dow Jones Newswires. To
view the article in its entirety please go to the following web site http://www.djnewswires.com/ )
Canada StockWatch
BCSC target Pacific International served dastardly Davis
by Brent Mudry
October 17, 2002
USA TODAY
Mighty Merrill Lynch bogs down in legal troubles
by Thor Valdmanis
October 10, 2002
Canada StockWatch
BCSC paints Pacific International as a
cornucopia of client crooks
by Brent Mudry
October 9, 2002
Inside Wall Street Online
Foul Play Among the UAL Shorts?
By Gene Marcial
October 8, 2002
Canada StockWatch
Investment Dealers Association court win underlines
Supreme Court landmark case
by Brent Mudry
October 26, 2002
New York Daily News
Spare me because of 9/11
By Greg B. Smith
September 25th, 2002
Canada StockWatch
BMO Nesbitt has quick deal on table in OSC's Lett
case
by Brent Mudry
September 19, 2002
Canada StockWatch
OSC targets BMO Nesbitt Burns as prime bank fraud conduit
by Brent Mudry
September 18, 2002
The Globe & Mail
The Rise and fall of broker Mark Valentine
by Jacquie McNish
July 8, 2002
New York Law Journal
NASD Information Disclosure Lacking
by Tamara Loomis
June 12, 2002
Year 2001
Hemispherx Biopharma vs. Manuel P. Asensio et
al
Report by Robert W. Lowry
RL Consulting Services
Leesburg VA
January 31, 2001
Copyright © 2001-2008 RGM Communications Inc.
Last modified: November 17, 2008
URL: http://www.rgm.com/shortselling.html
Best viewed at 800 x 600 pixels