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Expert Financial Analysis and Reporting

Tag archive for ‘illegal naked shorting’

Part 10 of Illegal Naked Shorting Series:  Legal Shorting of Stocks is a Loser’s Game but Illegal Naked Shorting Transforms It into a Winner’s Game

Upfront Caveat When I launched my research on stock manipulation and the prominent role played by illegal naked shorting, I believed that I had a fair understanding of the subject and could knock out comprehensive research in just a few blogs. However, as I dug in I was taken aback at how complex and widespread […]

Part 9 of Illegal Naked Shorting Series:  The Risk/ Reward of Shorting Versus Buying Stocks is Extremely Unfavorable

Investment Overview Selling something you don’t own seems a pretty alien concept to me. I struggle to find any business models for which this is a key strategy. The exception is shorting of stocks and other securities which is a huge business on Wall Street that is carried on by many hedge funds and aided […]

Part 8: Illegal Naked Shorting Series: Who or What is Cede and What Role Does Cede Play in the Trading of Stocks?

You Really Don’t Own the Shares that Appear in Your Brokerage Account; They Belong to Cede Most investors when they buy a publicly traded stock believe that they own a part of some company. They think that somewhere there is a stock certificate or some indication of ownership that has their name on it, but […]

Part 7: Illegal Naked Shorting: DTCC Continuous Net Settlement and Stock Borrowing Programs Have Loopholes That Facilitate Illegal Naked Shorting

Acronyms Used Frequently in This Report DTCC: The Depository Trust & Clearing Corporation (DTCC) provides clearing and settlement services to the US financial markets that handle the exchange of nearly all securities and cash on behalf of buyers and sellers. It is also a central securities depository providing central custody of almost all US securities. […]

Part 6 Illegal Naked Shorting: The SEC’s Regulation SHO is Intended to Prevent Illegal Naked Shorting, But is Ineffective

Overview In previous blogs I traced the history of stock trading from the 1960s when stock certificates and cash were physically exchanged to settle trades to the paper free, totally electronic system that exists today. Instead of owning stock certificates, we now own digital entries located somewhere in the vaults of the inscrutable Depository Trust […]

Part 5 in Series on Illegal Naked Shorting’s Role in Stock Manipulation: Traditional Shorting Compared to Naked Shorting (Both Legal and Illegal)

Introduction  This is the fifth blog in the series that I am writing to describe how illegal naked shorting is used broadly and massively to manipulate the stock prices of (primarily small) companies. I have been studying illegal naked shorting for nearly five years and I have found it to be incredibly complex and disturbingly […]

Part 4 in Series on Illegal Naked Shorting’s Role in Stock Manipulation: Who are the Key Players?

Introduction I worked on Wall Street as an analyst for nearly 40 years and was involved in the stock market on a day to day basis. Throughout this time, I was focused on fundamental developments that would give an insight into the potential for a company to grow its sales and profits and then trying […]

Part 3 in Series on Illegal Naked Shorting’s Role in Stock Manipulation – Prime Brokers and the DTCC Have a Troubling Monopoly on Clearing and Settling Stock Trades

Clearing and Settling of Stock Trades Most of us when we enter a buy or sell order for a stock give almost no thought to how key aspects of the trade are carried out. We have great confidence that the trade will be handled in accordance with our instructions and accurately reflected in our brokerage […]

Northwest Biotherapeutics: Right to Try Law Potentially Could Lead to Meaningful Revenues Prior to Formal Approval of DCVax-L (NWBO, Buy, $0.30)

Investment Perspective Last week, a manuscript was published in a peer reviewed journal that dealt with blinded results of the phase 3 trial of DCVax-L that is investigating its use in newly diagnosed glioblastoma multiforme, the most deadly form of brain cancer. . The article was co-authored by 69 leading oncologists who participated in the […]

Northwest Biotherapeutics: 8-K Document Released Today Provides New and Very Interesting Data on Patients Treated with DCVax-L. (NWBO, Buy, $0.48)

Substance of 8-K Regulatory Document Northwest issued an 8-K today in response to shareholders’ questions about an issue that has been raised due to some postings on message boards. Negative blogs have contended that NWBO has included the clinical data from 32 pseudo-progressors in the clinical data base of 331 patients enrolled in the phase […]