Securities

Recent Posts

SEC Settles with Two Named in a Short Selling Scheme
Posted on 23 Aug 2011 by Thomas O. Gorman

Periodically executives and regulators become concerned about short selling. During the recent market crisis, for example, the SEC placed limitations on selling the shares of financial institutions short. Although the directive was controversial, regulators... Read More

Do Chinese Companies Give the PRC Government Different Financials than to the SEC?
Posted on 28 Feb 2011 by David N. Feldman

Well, kind of, but. The latest Reverse Merger Report talks about the fact that short sellers have been focusing on alleged differences between filings by public Chinese companies with their government as compared to what is filed in the US with the... Read More

Are Short Sellers Fabricating the Accounting Fraud Allegations Involving U.S.-Listed Chinese Firms?
Posted on 3 May 2011 by Kevin M. LaCroix

The wave of new securities class action lawsuits involving accounting scandals at U.S-listed Chinese firms is already a well-established phenomenon . But in the latest twist on the tale, Deer Consumer Products , one of the U.S.-listed Chinese companies... Read More

At The SEC — A Focus on Short Selling
Posted on 19 Sep 2013 by Thomas O. Gorman

The SEC is focusing attention on trading illegal short selling, announcing twenty-three actions new actions centered on the prohibited trading practice. At the same time the Commission’s National Exam Program issued a Risk Alert on illegal short... Read More