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Bits And Pieces In The News

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Posted by:   bobo 3/8/2006 7:44 AM

UPDATE: 

"Short selling is not something I like telling people to do.  It's a terrible thing."

Herb Greenberg on CNBC today, discussing a paired trade.

Sure thing, Herb.

Never let them see you sweat. Bullets, or rivers, in this case.

Ha ha ha ha ha...

----------------

The Orange County Register had a piece yesterday that decried the “draconian” measure of subpoenaing journalists, and further indicated that OSTK is bad. How did they do so? A novel spin:

“I won't bore you with all the small details, but critics claim Overstock isn't honest with its investors about its financial success. Overstock says the critics have conspired to smear the company's reputation and profit from a stock fall.

Overstock's so miffed, they've sued a pair of these critics. But last week the company said it will restate four years' worth of results due to accounting errors.”

Yes. Yessssss. Bad bad OSTK. They had to restate the last four years, UP, due to using accounting standards that were overly conservative. Those are the kinds of small details that the journalist decided to spare his readers from having to read.

Kinda fun. If you can’t say something bad, at least take a positive and find a way to spin it as bad.

Now, I don’t much care about or address company fundamentals here, but I mention this not so much as a commentary on OSTK’s numbers, but rather on biased, slanted journalism that demonstrates a conspicuous and arrogant disregard for the truth, much less all the facts.

As if we needed further proof. The good news is that Orange County has joined the NY press corps in misreporting this issue. Wonder what the reporter’s background is…he should head East.

------------------

In other fun news, today the ruling by the Marin judge in the case that has sparked all the controversy, became final. OSTK issued a release that highlighted the critical elements of the decision. My favorite piece was Judge Smith’s characterization of the nature of the allegations:

“Additionally, Judge Smith ruled that, "The Anifantis declaration is sufficient prima facie evidence demonstrating Gradient's predecessor (Camelback) published 'special reports' in reckless disregard of the truth (i.e. with actual malice)."

Now, is that bad, when a judge uses terms like, “Reckless disregard of the truth?”

Because it sounds kind of bad to me.

The interesting thing to note is how nobody in the NY press corps is covering this. Everyone is busy beating their breasts and ululating over imagined 1st Amendment challenges, and yet the actual meat of the actual case that has driven this is being largely ignored.

Why is that, I wonder?

Rocker and Gradient have been saying that it is all a stinking lie, and yet the judge in Marin, after reviewing their arguments, declared that OSTK had established “…a probability that it will prevail on the merits of its complaint”, and that this wasn’t about free speech at all, but rather, as I have opined repeatedly, that it was about conduct.

As predicted here, the defendants are going to try to stall discovery as long as possible, and intend to appeal. Of course they aren’t framing it as, “we intend to do everything in our power to delay discovery until the end of time itself.”

No, their spin has the national anthem playing in the background, and our old friend the 1st Amendment in the foreground.

Which ignores that the judge just ruled that was a load of horse dung.

Here’s there bit, which sounds suspiciously like the journalists who received subpoenas’ bit:

“In a statement Tuesday, Gradient said the company plans to immediately appeal the ruling. That action could delay proceedings in the trial court until the appellate process has been exhausted.

Scottsdale, Ariz.-based Gradient said First Amendment case law protects its rights. "If this decision stands, independent financial analysts will become easy prey for the companies they study - and everyone would lose," Gradient said.”

Uh, no, not really. It just won’t be so easy to doctor research reports and let hedge funds front-run them, with impunity.

Because the judge, a serious and somber man, ruled that this is NOT about speech. They just don’t like that, and will do anything, expend any amount of money to avoid having all facts become known.

Guys? If you don’t have anything to be ashamed of or to hide, why not just let the truth out, and win in court?

I have cautioned against jumping to conclusions in this case, but doesn’t it seem suspiciously like Byrne’s position is taking on additional weight as time goes by? Rocker and Gradient sure are acting like they have a lot to hide.

“Reckless disregard of the truth…”

Kinda says it all, no?

------------

The WSJ "Street Sleuth" column has a great article on Wall Street prime brokers being too liberal in their granting of credit to hedge funds, thereby exposing themselves to huge leverage risk - exactly as this column, featuring the bunny, pointed out about a year ago.

Not only does this expose the brokers to tremendous risk, but it also de fact makes them partners with the hedge funds in their trades - they are far more likely to be alligned with the guys that they have granted indecent leverage to than with investors - so it is easy to see how they can be more inclined to "help" keep a company's tock depressed in order to safeguard their investment in a hedge fund's credit than they would be if they weren't on the hook for their debt if the fund blows up.

S&P is tossing around words like "Systemic Risk" that could have "Global" significance.

Apparently some prime brokers are financing trades without requiring any collateral.

Wouldn't that be a neat way to print money for a hedge fund in trouble? Just naked short like mad, drive the price down, and collect the delta between where the shorts were placed and today's price? Think it isn't going on? Think again.

I've been beating this drum for a year. There is a huge incentive for prime brokers to abuse their market maker privelege and naked short sell companies, in order to better protect their hedge fund clients' bad bets, and dig valuable clients out of the hole on disastrous positions. The old saying from Trump's years of playing fast and loose resonates: If you owe the bank a billion, you have a problem, if you owe the bank a hundred billion, the bank has a problem.

No kidding. Wonder what discovery in OSTK and Biovail and NFI and TASR are going to show in terms of prime brokers misbehaving? The SEC is looking into three of the four, and Biovail is forging ahead with their suit, so my hunch is that the prive brokers have got to be looking at catastrophicly large naked short positions in some of those companies and going, "What the hell were we thinking?"

That this is from the WSJ should alert traders and investors alike that the tiles are coming off the shuttle. This is the first shoe to drop, softly, "breaking" this in a friendly manner.

More will surely follow.

Is the Street getting the feeling that the complicity of some prime brokers in unholy partnerships with prominent hedge funds is going to go balistic soon, and that the whole sham we have been reporting on for so long is going to be exposed?

What happens when it becomes obvious that the $800 million dollar assets of a short selling hedge fund are now being used to collateralize $16 billion worth of short positions, and that the prime brokers are so pregnant with those positions that they have been printing shares ex-clearing for years, in order to keep the prices depressed, and avoid this year's financial meltdown?

I bet that we finally start to see some familiar names rocket, for one thing. I also bet that we see the brokers go into the toilet.

That's my hunch.

Will be interesting to watch this play out...

----------

In other news, a company is taking yet another tact at fighting illegal naked short selling (isn't it amazing how many companies are having to go to extraordinary lengths to battle stockprivilege manipulation?) - Loftwerks recatastrophicallyvealed that insiders now own more stock than the company has ever issued.

Huh.

Isn't that wild? And yet, per the DTCC and the SEC, there is no smoking gun, and there is no problem.

Copyright ©2006 Bob O'Brien
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Comments (67)
Re: Bits And Pieces In The News By JLB on 3/8/2006 7:57 AM
Bobo, sounds to me like Gradient said to the judge, "who are you going to believe, us or your lying eyes?" BTW, thanks for taking a stand with this blog, it certainly gives me hope that these crooks will eventually get caught in their own sticky web. Bless you, Patchie, Mark, and all the other dedicated folks involved here. - john
Re: Bits And Pieces In The News By dave on 3/8/2006 8:30 AM
These guys claim to have bought the float in their stock.

http://www.marketwire.com/mw/release_html_b1?release_id=112383
Re: Bits And Pieces In The News By Wonder Boy on 3/8/2006 11:36 AM
Patchie----
Thanks! Never heard that one before. Now that is what I call a network!
Re: Bits And Pieces In The News By dave on 3/8/2006 11:38 AM
Patchie - what rule does the SEC quote to stop someone from selling a certificate on e-Bay?

You're allowed to sell certificates privately.
Re: Bits And Pieces In The News By Patchie on 3/8/2006 11:48 AM
Dave,

I can't remember what they used to force the item pulled - it was several years ago - but it was pulled. I think it was a CMKX shareholder.
Re: Bits And Pieces In The News By mhatmccane on 3/8/2006 12:42 PM
My Email to JLansner@OCRegister.com:

Your subject article left me wondering how much research you put into it. While I can understand your desire to protect a "free press", I have to wonder is having a press card is a free pass to lie and distort. While you report part of the Overstock story:

"I won't bore you with all the small details, but critics claim Overstock isn't honest with its investors about its financial success. Overstock says the critics have conspired to smear the company's reputation and profit from a stock fall.

Overstock's so miffed, they've sued a pair of these critics. But last week the company said it will restate four years' worth of results due to accounting errors."



You neglect to mention the Judges ruling in the suit in favor of Overstock. Is that one of the small details you choose not to bore us with?

Are you familiar with the CNBC poll that showed over 80% of the respondees favored the SEC's action with the "journalists"?

There is a really big story here and you are missing it. It involves hedge funds, and crooked research firms, and bent journalists, and naked short selling (not short selling, NAKED short selling), and multiple target companies.

Re: Bits And Pieces In The News By bovine_poor on 3/8/2006 12:46 PM
Where you have "If this decision stands, independent financial analysts will become easy prey for the companies they study - and everyone would lose," Gradient said, you must not have read their statement very closely. Gradient is not being sued for being an 'independent financial analyst'; they are being sued for paid and directed publishing of financial information while pretending it is independent analysis. One has to be careful when reading statements from the bad guys (and the good guys). One must pay attention to what is actually said, not what they want you to think they said. Just a word here or a word there changes a lie into a truth and vice versa. Remember the "it all depends on what the meaning of the word 'is' is" statement?
Re: Bits And Pieces In The News By rtway1 on 3/8/2006 12:47 PM
One of my favorite quotes is " We fail to see the obvious, and accept it". When you start to put together all of these single bits, which are totally true, not rumors, such as the quote of the judge in the lawsui, the 10% lending fee from Schwaab, absence of Carol, The guy on the blog, the wording of Cox,etc,etc. there is obvious things that are quite positive and sending a signal. Most important thing is get your certificates in your hands and support your company, hey, you got to spend your money somewhere, why not at your own store, I look at it as "THE OBVIOUS" and accept it.
have u seen this? shall i give you the link? say please By rashomon on 3/8/2006 12:54 PM
In a little-known quirk of Wall Street bookkeeping, when brokerages loan out a customer’s stock to short sellers and those traders sell the stock to someone else, both investors are often able to vote in corporate elections. With the growth of short sales, which involve the resale of borrowed securities, stocks can be lent repeatedly, allowing three or four owners to cast votes based on holdings of the same shares. Bloomberg Markets (link to article)
you r welcome, now lets get the REAL ISSUES RIGHT!!!!!!! By rashomon on 3/8/2006 12:58 PM
http://www.bloomberg.com/media/markets/apr_ft_proxy.pdf
Re: Bits And Pieces In The News By rtway1 on 3/8/2006 1:03 PM
One more thing I would like to add to my prior note about the obvious things in front of us. As you watch the news and see MR. Fastow blow the whistle on his former best buds, replace his name with one of your favorites in the scheme we are dealing with. Karma is a wonderful thing.
Re: Bits And Pieces In The News By rtway1 on 3/8/2006 1:05 PM
You know what Rash, I bet just maybe the SEC and the DOJ might already have a clue on this.
Re: Bits And Pieces In The News By rashomon on 3/8/2006 1:07 PM
course they do, the stock borrow system is faulty and antiquated and ripe for manipulation. has to be fixed. but you know liquidity is the prevailing mantra so we shall see what they ever do about it. didnt know if bunny et al had seen the article (next months Bloomberg Markets mag sent to all bloomberg terminal users) ... but you guys should definitely check it out. supports some of your points
Re: Bits And Pieces In The News By dave on 3/8/2006 1:10 PM
Patchie, your http://www.investigatethesec.com blog was great - you should post it here.

Also, can you somehow alert us here when you update your site?
Re: Bits And Pieces In The News By dave on 3/8/2006 1:13 PM
If Hoovers is right and the DTCC and Cede & Co. is the same company, then that would imply that any liabilities of the DTCC are liabilities of Cede & Co.

Cede & Co. is the ACTUAL REGISTERED owner of any stock you have in street form.
Re: Bits And Pieces In The News By Patchie on 3/8/2006 1:34 PM
Dave...

Here you are. I try not to post these as blogs because they are long and take up space that detracts from the theory of blogs --- short and sweet.
I have found that in posting a long thread/comment people are distracted from reading through comments.

Here is the link to what you discussed Thanks for the comments.

www.investigatethesec.com/DP20060308.htm
Re: Bits And Pieces In The News By dave on 3/8/2006 2:05 PM
Thanks. A link / alert in the comment section is good - let people know your site has new info.

Your last post on the DTCC was right on. It's crazy how they compare apples to oranges. It makes you wonder why they won't release the real raw data...

One thought occurred to me - the DTC is a trust company and is regulated by the banking commission - they may be hard to discover / sue. The lawyers may have more luck going after the NSCC as that is where the fails are and according to the DTCC annual report, they admit a huge liability for fails to deliver.

The NSCC is just an incorporated, private, for profit company and a wholly owned sub. of the DTCC.
Re: Bits And Pieces In The News By Marion Polk on 3/8/2006 2:25 PM
If management of LFWK is telling the truth, OVER 26 MILLION FAKE shares were traded today.

How long can the DTCC keep this crap up?

Re: Bits And Pieces In The News By dave on 3/8/2006 2:52 PM
Re: LFWK

I'm trying to understand why there are so few Pink Sheet and OTC sheet companies on the SRO list.

The market makers are ALLOWED to short for 30 days and many small companies are overvalued, yet there is almost no naked shorting of small companies. The market makers must go out of there way to flatten their positions in ten days even though they are allowed to short for thirty.

Percentage wise, there are very few OTC and Pink Sheet companies on this list.

Something smells foul to me.
Re: Bits And Pieces In The News By bobo on 3/8/2006 2:54 PM
The brokers also just desk the shares after a certain point - they put the securities entitlements into your account, represented as shares, but they never bought anything - they just tell you they did. They know the stock is going lower, because their big hedge fund buddies are pounding it, so they put your money into their pocket and it is a bonus.

That's why there is such conflict of interest - the brokers don't treat you as a client, deserving of a fiduciary trust, they treat you as a customer - with the prevailing sentiment buyer beware. You are their natural prey, and their adversary - even though they spend fortunes to convince you that you aren't.

There are so many ways to rob you it isn't funny. The Stock Borrow Program is an anonymous pool of shares that self-replenishes, and the stock contributed into it is done so on the honor system - nobody is checking to make sure your 401K shares haven't been put in there, and automatically converted into an asset for your broker (counting toward their capitalization requirements). Nobody is policing ex-clearing, where orders of magnitude more shares are undelivered than in-system. Nobody is forcing buy-ins - the DTCC claims it is powerless to do so, even though it is an SRO chartered with regulating the business conduct of its members. It also claims to be powerless to police ex-clearing. Amazing that it is so powerless over its members/owners. How convenient. For them all.

Brokers lend shares and then don't tell you - they falsely represent the "Securities Entitlements" in your account as being valid, even though that is a lie - the underlying security/book entry is long gone, lent to someone else, who sold it. That is why the Bloomberg article is so damning - the practice violates securities laws as well as the UCC, and nobody is doing anything about it.

It's sort of like, we are smarter than you, we run the train, and unless you can figure out how the highly complex, hidden turbine operates, we won't tell you what powers the train. And because we run the train and are smarter, even though it is illegal to do X and Y and Z, we will still do it, because nobody has the balls to stop us - and trains are good for the economy - everyone needs the trains to run.

It sickens me. But I DO understand it. I get it. One could say I'm writing the book on it...
Re: Bits And Pieces In The News By dave on 3/8/2006 3:16 PM
I'm looking forward to buying a copy of your book (and Mark's).

The "desking" happens at various levels. Not only is it common for a brokerage to own less stock than their customers think they own, it is also common for clearing brokerages to own less stock than the introducing brokerages think they own.

It is a bit tough to wrap your head around, but 90% of US brokerages use third party clearing brokerages to own their assets. This is where the biggest failures have been.

As an example, look at MJK Clearing.

MJK Clearing http://www.mjktrustee.com/pdf/memorandum_of_law.pdf held assets for 175,000 customers at 65 introducing broker dealers. They were brought down by Adnan Koshoggi, the arms dealer.

On average, each introducing broker dealer had 175,000 / 65 = 2917 customers. In each case, that broker dealer could have less stock on hand than their 2917 customers think they own.

At the next level up, maybe half the broker dealers are net long Microsoft and half are net short Microsoft. 33 might be long and 33 might be short, but over a week, it pretty well averages out. 175,000 customers can trade Microsoft day in and day out without MJK ever needing to move any stock to the NSCC or from the NSCC. The trades all net to zero.

They become a little x-clearing Microcosm separate from the DTCC settlement system.

Now, what's to stop them from lying. A crooked introducing brokerage sells stock all day long. They could just say that there is another introducing brokerage that is buying stock. They could print / match trades with a fictitious buyer.

Imagine the crooked introducing brokerage secretly owns the clearing house and plans to leave the bankrupt clearing house holding the bag.

I'm not saying that's how it happens because I don't know - I'm only speculating, but my thought is that if only 10% of the brokerages deal with the DTC directly, then that may imply that x-clearing is 10 times or more larger than DTCC clearing.

"Approximately ninety percent of all broker-dealers registered with the Securities and Exchange Commission (SEC) hire clearing brokers and utilize clearing arrangements."

"This increase of nearly 900% over twenty-six years is, in large part, the direct result of favorable regulatory treatment accorded clearing arrangements by the SEC."

"These firms are paid to clear trades, not to watch customers. Clearing firms will charge more or consider leaving the business if they are asked to police sales practices and that will end up hurting the average customer," says Sidley Austin Brown & Wood lawyer Henry Minnerop, who has represented most of Wall Street's clearing firms over the years.

“Even if one accepts that the complaint sufficiently alleges that Bear Stearns did this with knowledge that these brokers were manipulating the securities at issue, the complaint does not establish Bear Stearns primary liability under § 10(b).”
Re: Bits And Pieces In The News By dave on 3/8/2006 3:16 PM
Repeat post, but this article is important. Following the link are quotes from it.

http://www-rcf.usc.edu/~usclrev/pdf/072403.pdf

IT’S 10 P.M. DO YOU KNOW WHERE YOUR SECURITIES ARE?

As Professor Loss put it, the “recurrent theme” of federal securities
regulation is “disclosure, again disclosure, and still more disclosure.”...

...When an investor purchases securities, they
are generally not held in the name of that investor (sometimes referred to
as the “beneficial owner”), but rather in the name of an intermediary.3 The
intermediary retains custody of the securities. An investor’s claim to securities
in her account with an intermediary, though sometimes treated by the
law as a conventional property right, is more like a contractual relationship
with the intermediary. Thus, “[u]nlike property claimants such as lessors
and secured creditors, the sui generis claims of customers of a securities
intermediary are marked by a lack of control and knowledge and an almost
exclusive reliance on the integrity and solvency of the intermediary.”

...In April 1968, $2.67 billion worth of transactions failed; in December 1968, that number
rose to $4.13 billion.25 Although the dollar value of fails declined thereafter,
nearly twelve percent of all transactions failed in July 1969.26

...In any industry, accepting orders that cannot be filled violates basic principles of contract.
Moreover, in the view of the SEC, such conduct constituted securities fraud.

...The most common form of
misconduct leading to firm failure is the outright misappropriation of customers’
cash and securities.

...Investors who were, in the lay sense, customers of the failed firm often
suffer losses that will not be paid out of the SIPC fund.

...The SEC and SROs do not actively monitor brokers’ financial
health; rather, the financial conditions of broker-dealers are largely selfreported.
Furthermore, even if the SEC becomes aware of broker-dealer
financial distress, it is unclear who within the SEC has primary responsibility
for reporting it to SIPC. SEC regulations assign the statutory duty to
a number of different officials at various levels.143 Nonetheless, only the
SEC can order SIPC to initiate a SIPA liquidation proceeding; individuals
have no standing to sue SIPC to compel it to do so.144

...While the tradition of regulation in this area is long, Congress and the
SEC have not implemented very demanding capital rules, and have left
much of the responsibility for enforcing the rules to the industry itself.

...While some violations may be due to a failure to understand
the complexity of Rule 15c3-3, it is likely that some brokers deliberately
flout this rule in order to realize higher gains on customer assets.

...Certain aspects of the SIPA scheme further illustrate Congress’ intent
to use investor protection primarily as a means for industry protection.

...After 1978, “[a]ll customers who left negotiable
securities in their broker’s possession share the risks of misappropriation
and share ratably in remaining customer property.”
Re: Bits And Pieces In The News By Wonder Boy on 3/8/2006 3:58 PM
Probably not the most pleasing analogy, but........

The whole system reminds me of a large pile of fresh cow manure that really stinks at first. After a few days in the hot sun, the outer layer gets crusty and the odor goes away. Stir it up some more and the odor returns. This can be done repeatedly with the odor returning each time. Eventually, the sun will have it's way and the odor will be almost completely gone. Reminds me of this mess we have with the SEC, the Congress, the DTCC, the laws that have been passed and not enforced, the SRO's, the 'press' or 'media', the analysts, and the politicians.
Re: Bits And Pieces In The News By Patchie on 3/8/2006 4:12 PM
Dave

Re: Pink Sheet companies. If a 15c-211 is not filed, a market maker is not allowed to naked short a stock for bona-fide market making. It requires a 15c-211 to do so. Much of teh difference between OTCBB and pink Sheeet is the bona-fide market making issue. This then raises teh question:

If no legal market making can take place in a pink sheet stock (no 15c-211) and the stock is fully reporting but trading on unsolicited orders only, how does a fail ever take place? Unsolicited orders are orders represented by clients only. Pink Sheet stocks are not shorted in the US as no institution will allow retail shorting in these stocks and...they are non-hypothicatable.

I have written to Pinksheet.com and asked them how they have any stocks on reg SHO based on their bylaws. I suggest more do the same.
Hey Dave! By Cynic on 3/8/2006 4:12 PM
Are you saying when this whole thing fails, the retail customer will lose because the shares he thinks he is holding aren't real?
Re: Bits And Pieces In The News By dave on 3/8/2006 4:37 PM
Cynic,

The retail investor has some protection from the insurance fund, but in the past retail investors have been left holding the bag. The only safe form of ownership is a certificate. You can also register your shares electronically with the transfer agent - you don't actually need to receive the piece of paper.
Re: Bits And Pieces In The News By patchie on 3/8/2006 4:40 PM
I found a really strange FAQ on the SEC site that said the SEC doesn't consider OTC companies to be trading as they don't recognize the OTC as a stock exchange.

Could that be how they are hiding a mammoth OTC / Pink Sheet fail problem?
Re: Bits And Pieces In The News By Wonder Boy on 3/8/2006 4:45 PM
Patchie---
For some reason I think I read where that rule was just changed or has been changed and will take affect later this year. I feel really stupid talking with you guys though, so you should check it out for yourselves.
Re: Bits And Pieces In The News By dave on 3/8/2006 4:49 PM
Sorry, that last post was from me - it was supposed to be addressed to Patchie.
Re: Bits And Pieces In The News By Patchie on 3/8/2006 4:49 PM
Wonder...The pink sheets has changed the rules requiring a 15c-211 to be filed for all NEW Pink Sheet listings. Prior listings do not have to be in compliance. I spoke to the Pink Sheets on this. The intent is to have a higher pedigree of companies on the listing.
Re: Bits And Pieces In The News By Wonder Boy on 3/8/2006 4:51 PM
Dave--
In your reply to Cynic--
How exactly do you register your shares with the 'transfer agent'?

Thank You!
Re: Bits And Pieces In The News By dave on 3/8/2006 4:55 PM
It's the same as pulling a certificate, but you just tell the transfer agent to register it electronically.

Basically, they remove your shares from Cede & Co. and register them to your name and address. I forget what it's called - direct registration or something like that.

I prefer to get the physical certificate, but I was rebutting the position that some thought it was old fashioned to ask for paper.
Re: Bits And Pieces In The News By InTheKnpw on 3/8/2006 5:01 PM
The psychos are out. Another good sign that the shit is about to hit the fan!
Re: Bits And Pieces In The News By Wonder Boy on 3/8/2006 5:11 PM
Dave--

Thanks for your answer. Somehow, with my 'trust level' as low as it currently is, I think I like the 'paper' too!

I might add, if you are an APEX client with Ameritrade, you can get them for free. Not an ad for Ameritrade or anything----just trying to pass along some information that may help some others.
Re: Bits And Pieces In The News By latest blast on 3/8/2006 11:40 PM
PR Newswire - March 08, 2006 21:29
Overstock.com Fights Campaign of Stalls and Lies by Rocker and Gradient


SALT LAKE CITY, March 8, 2006 /PRNewswire-FirstCall via COMTEX/ -- Overstock.com(R) (Nasdaq: OSTK) President Patrick Byrne issued the following response to Gradient Analytics' notice of appeal, filed in response to the California Superior Court ruling denying Gradient's Anti-SLAPP Motion to Strike all causes in the Overstock.com lawsuit:

(Logo: http://www.newscom.com/cgi-bin/prnh/20030520/LATU020LOGO-a )

"Eight months ago Gradient and Rocker were thumping their chests
threatening to counter-sue us. I said at the time that they would not
because these miscreants could not survive the discovery a counter-suit
would trigger. They still have not filed suit, and now, once again, they
are doing whatever they can to stall the discovery process. I once again
invite them to counter-sue, and let us move to discovery quickly."

"In addition, while Gradient, Rocker and their cronies attempt to spin
this as a First Amendment issue, let me remind observers that the
activities described in our witness's declarations are covered by a
technical term: 'illegal.' It is 'illegal' to let favored clients doctor
research then publish it as independent; it is 'illegal' to permit such
clients to front-run that same research; it is 'illegal' to front-run it
themselves through hedge funds they secretly control. Their arguments
that this conduct is somehow all protected by the First Amendment were
roundly rejected by the Honorable Vernon Smith, whose decision these
blackguards now dismiss as an 'erroneous trial-court ruling.' Good luck
with that, fellows."

Overstock.com filed its original lawsuit against research firm Gradient Analytics and hedge fund Rocker Partners in August 2005 when it learned the firms colluded to publish false and misleading research in a scheme to engineer stock fluctuations from which Rocker and Gradient's owners could front-run stock trades while harming Overstock's reputation with consumers, suppliers, and employees.

About Overstock.com

Re: Bits And Pieces In The News By mormonsniper on 3/8/2006 11:41 PM
So folks, bottom line... no ifs ands or buts.... Would it be in our interest to request our paper certificates? I ask because I "own" NFI. My first stock purchase in March of 2004. Took a dive but I have held on. At the time, my brokerage firm had a tough time "crediting" my very small account with the shares I purchased on one occasion. Took a week to get into my account as I recall. The shares are in a cash account and in my Roth. I also have a few in the DSP plan. Total is about 1K.

Thanks to everyone on this (Bob, hhill, bov, mary and many more). This has really helped me hang in there.
Re: Bits And Pieces In The News By bcinvestadvisor on 3/8/2006 11:43 PM
I saw this bit on a pr website. Very comical in a sickening sort of way. Thankfully we already have rules to take care of this problem...don't we? http://www.prweb.com/releases/2006/3/prweb355943.htm
Re: Bits And Pieces In The News By rtway1 on 3/8/2006 8:16 PM
To those people who are frugal and think that the cost of getting paper shares is expensive, think of it as insurance on your property. Some slime ball can,t steal it if it is in your hands. That is why sites like http:www.investigatethese.com and the home of the bunny http:www.thesanitycheck.com are always saying to get your certificates in your name. And check out the sales at Overstock.com, our company.
Stock Certificates By Cynic on 3/8/2006 11:45 PM
I've heard that an investor may keep his certificates in trust at a bank rather than maintain physical possession. Can anyone recommend such a bank. I'd rather not worry about mailing in certificates back and forth.
Re: Bits And Pieces In The News By mhatmccane on 3/8/2006 11:39 PM
I have 1300 shares of NFI in an IRA account and 210 shares in a Roth IRA. I have been under the impression that asking for my certs in the IRA would trigger a "distribution". Would asking the transfer agent to record them in my name also trigger a distribution ?
Re: Bits And Pieces In The News By dave on 3/9/2006 7:59 AM
It's a bit of a pain in an IRA, but can be done.

You have the shares issued in the name of a trust which is held in the IRA. I've never done it, but am told it can be done for a couple hundred dollars.

Does anyone here have more detailed info? It seems like a common question.
Re: Bits And Pieces In The News By dave on 3/9/2006 8:01 AM
I found this site in a google search - maybe something here?

http://www.pensco.com/education/PrivatePlacementsOverview.asp
Re: Bits And Pieces In The News By mhatmccane on 3/9/2006 11:53 AM
Dave,

Thanks for link. Didn't seem to answer question though.
Re: Bits And Pieces In The News By SammyC on 3/8/2006 8:31 AM
March 8, 2006
Wall Street Journal
Street Sleuth
Prime Brokers Get a Caution Flag

Credit Watchers Are Wary
Of a Crisis From Lending
For Hedge Funds' Trading
By SERENA NG
March 8, 2006; Page C5

Some credit watchers are starting to worry that Wall Street is giving its best customers too much rope -- maybe enough to hang themselves and other investors, too.

At issue: the growing, and evolving, business of prime brokerage, Wall Street's preferred-customer services for hedge funds that include helping the funds'
managers with paperwork and introducing them to potential clients. But the real money part of prime brokerage, and part of what has some credit-rating analysts and other risk watchers worried, is financing hedge funds' trading.


For years, Wall Street firms have lent hedge funds money to trade and lent out stock for short selling, a bearish trade in which the funds sell the borrowed stock. Over the past year and a half, however, prime-brokerage operations -- including some smaller upstarts that are trying to challenge established names like Morgan Stanley, Goldman Sachs and Bear Stearns -- have been allowing hedge funds to borrow ever more money to ply their trades. In some cases, prime brokers are requiring less collateral.

"We're fairly certain that credit terms have been loosened in the prime-brokerage industry," says Tom Foley, a director and senior credit analyst at Standard & Poor's. "There could be systemic risk arising from this."

Mr. Foley was referring to the possibility of a financial crisis that could affect a swath of the economy or even the world. The term "systemic risk" gained prominence in 1998 when the failure of Long-Term Capital Management posed risks well beyond the hedge fund's trading partners and lenders.

Systemic risk or not, don't look for a pullback in prime brokerage. Industry-wide revenue from that activity should reach nearly $8 billion this year, according to Sanford C. Bernstein.

And with more hedge funds than ever doing business -- an estimated 8,000 funds -- it is becoming more difficult for brokers to assess their ability to trade and the other risks of lending to them. Most hedge funds nowadays use multiple prime brokers, so no single broker has a complete profile of his hedge-fund client.

Wall Street acknowledges the challenge. "Our primary risk-management and lending decisions are based on our knowledge of the client and the collateral we hold, as it is more difficult to make a fully informed judgment about the size and leverage of a fund's assets that are held elsewhere," says Craig Abruzzo, who oversees risk management at Morgan Stanley's prime-brokerage division.

"If each broker maintains its collateral positions properly, then that's the best it can do to mitigate its risk," adds Leslie Bright, a senior director at Fitch Ratings.

S&P's Mr. Foley says he has heard that some brokers have even financed funds' trades without requiring them to put up collateral, though no prime brokers interviewed for this column said they do so.

Another risk: Some of the collateral funds put up to borrow may not be all that easy to sell should the client funds run into trouble. These include "junk" bonds with low credit quality.

Also, a lot of hedge funds now are active players in the market for credit-derivatives, investment contracts that allow investors to bet on the likelihood of a company or country not being able to pay its debts. These derivatives can also add risk to a hedge fund and the broker lending to it.

"If you have derivative exposures, you have to be appropriately conservative in your lending and financing arrangements," says Fred Bird, who oversees risk management at Deutsche Bank's global prime-service unit. He adds that Deutsche Bank's terms and conditions for its relationships with hedge funds have been stable for the past three years.

Analysts stress that the credit ratings of big Wall Street firms aren't being jeopardized by their prime-brokerage activities.

"Smaller firms, however, may not have the same level of systems, oversight and risk management, and clearly one of the ways for them to gain market share is to offer better pricing and looser terms of financing," says Herve Geny, a risk-management specialist at Moody's Investors Service.

Ron Papanek, a strategist with RiskMetrics Group, a risk-analytics firm, adds that while lenders represent an important control on the hedge-fund industry, "it's not a perfect control, because there are always ways around the lending limits, and hedge funds have been rather shrewd in figuring them out."
Re: Bits And Pieces In The News By x. trapnell on 3/8/2006 8:40 AM
It may be worthy of note that for the first time a post has appeared on the yahoo OSTK board--from a poster a brand new ID--defending Rocker and identifying Herb Greenberg as real culprit. The language is revealing:

"i surprised the focus of this group is on bringing down rocker. rocker is just a guy with a negative opinion on a stock that is willing to pay people to express biased opinions. sure, the biased part sucks, but i'd be willing to bet my life that he actually hates the fundamentals of the companies he targets. the real scums in this are the people that are willing to be the lapdogs of guys like rocker when their defined role is really to protect us from people like this. the real target should be greenberg. . . .if he is scum and not just an idiot, he's the one we want in jail with bubba. "

If I were Herb, I'd be a mite nervous. Looks to me as if he is being set up as the fall guy.

http://finance.messages.yahoo.com/bbs?.mm=FN&action=m&board=1600670676&tid=ostk&sid=1600670676&mid=74588&thr=74588&cur=74588&dir=d
Re: Bits And Pieces In The News By hemingway811 on 3/8/2006 8:45 AM
It is not just the NY press corps who remains eerily silent. I scanned close to 50 newspapers and other periodicals this morning and did a thorough Google seach. Other than the Reuters newswire artcile on OSTK's press release, OSTK's win in Marin County is a non event.

To no one's surprise, CNBC is mum.
Re: Bits And Pieces In The News By mhelburn on 3/8/2006 8:56 AM
S&P's Mr. Foley says he has heard that some brokers have even financed funds' trades without requiring them to put up collateral, though no prime brokers interviewed for this column said they do so."

What on earth could make a brokerage do this? Why wouldn't the client have enough collateral? Why allow a client more risk/reward than the rest of the clientele?

We are getting a peek. I would like to know if brokerages use client's assets as their own collateral and for collateral for other clients. Hedge funds borrow against clients' assets for leverage. I wonder if the brokerages borrow against client assets to do their own proprietary trading. Using the MM exemption is doing just that. That is what naked means.
Re: Bits And Pieces In The News By dawgman on 3/8/2006 9:23 AM
>>>>The WSJ "Street Sleuth" column has a great article on Wall Street prime brokers being too liberal in their granting of credit to hedge funds, thereby exposing themselves to huge leverage risk -<<<<

We all know that Wall Street's actions are driven by fear and greed! Last night I had a brain flash. If this naked short selling attracts many more lawsuits and subpoenas, those who have been covering the naked shorts (DTC) for these hedge funds, may get nervous and demand that they close they either cover the short or close it out. Now, I don't expect the Wall Street inside crowd to do anything as a result of either moral or legal pressure. But I do expect that these Wall Street insiders will always seek to protect themselves from financial loss. If this heats up a bit more, the folks at the DTCC may decide to call in some of those counterfeit shares out of fear that they could be the ones without a chair when the musid finally stops. C'mon OVTI, TASR, ALD, KKD, NAVR, DAL .... lets have some more lawsuits!
Re: Bits And Pieces In The News By Just Someone on 3/8/2006 9:31 AM
That one got more votes for quote of the year than Jim's quote about innocent people and subpoenas?
Re: Bits And Pieces In The News By bobo on 3/8/2006 9:35 AM
The problem the prime brokers face is simple. What if a fund with $850 million in assets has been given $16 billion in credit, which they have used to largely take naked positions, knowing that their prime brokers will trade alongside them, and ad weight to the downward drag.

Those positions are undercollateralized at a mind-boggling level. And if the stock prices run away, it isn't the hedge fund that implodes, it is the prime broker. The hedge fund is a blip. Because the profit from those marked to market naked posiitons has likely been plowed back in as further collateral for yet more positions, or has been pulled out and used for redemptions.

So what happenes when the plug gets pulled? Probably digging themselves in deeper. But what if they can't, as every move is now being watched, as in DOJ-level, criminal fraud watched, not SEC-level writs slap watched?

A global financial cataclysm that makes the S&L debacle look tame.

Exactly as I have been predicting for the last year or more.

I believe it is not a question of if, but rather when.
Re: Bits And Pieces In The News By Just Someone on 3/8/2006 9:37 AM
"Short selling is not something I like telling people to do. It's a terrible thing."

I think if Dana Carvey imitating George Bush senior when I read that. "It's bad! It's bad!"
Re: Bits And Pieces In The News By Jeremiah 9:24 on 3/8/2006 10:00 AM
BobO,

From your last post, are you hinting or just hoping that the DoJ, US Treasury, Secret Service, etc., may be watching the prime brokers and DTCC screw the public? With an eye to busting someone(s), even?

Do you see some heads rolling soon?

Also, any hints as to who might be on the receiving end (pardon the pun) of that hot fudge colonic recently referred to by Dr. Byrne (he also used that phrase in that Combating Aggressive Trading Tactics Webinar a few weeks back)?

Best Regards,

Jer.
Re: Bits And Pieces In The News By mfairview on 3/8/2006 10:20 AM
Some prophetic quotes from Abramoff: http://www.drudgereport.com/flash7.htm

"This is not an age when you can run away from facts. I had to deal with my records, and others will have to deal with theirs."


"There were times when I helped the country and the causes that I love and obviously times when I hurt them. The exposure of my lobbying practice, the absurd amount of media coverage, and the focus-for the first time-on this sausage-making factory that we call Washington will ultimately help reformthe system, or at least so I hope. The only thing that a clever lobbyist cannot manipulate is the absence of something to lobby for or fight against."

Re: Bits And Pieces In The News By Lee Ving on 3/8/2006 10:24 AM
Doesn't reinstating 4 years of financials, whether up or down, indicate at the very least a lack of quality control? Playing devils advocate here.
Re: Bits And Pieces In The News By Lee Ving on 3/8/2006 10:25 AM
Edit: restating

(brain works, fingers don't)
Re: Bits And Pieces In The News By n-tres-ted on 3/8/2006 10:47 AM
Lee, I don't think so. Really, it's more like too much quality control. The FASB standards are very complex and difficult to apply to a particular company's business dealings. JMO
Re: Bits And Pieces In The News By zimmer on 3/8/2006 11:02 AM
Bobo .... when you say "I bet that we finally start to see some familiar names rocket, for one thing." .... are you possibly referrin