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SEC Clears Pequot, Mack, per CNBC

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Posted by:   bobo 10/5/2006 4:48 AM

My faith in the American system is restored.

After a close call, wherein a super powerful member of the Wall Street royalty was ALMOST required to submit to the rule of law by a seasoned, smart investigative attorney, the ship righted itself, the investigator was fired, and the SEC came to the unsurprising conclusion that all was well on Wall Street.

Thankfully, the SEC stopped Congress from being able to review the facts of the case, by stonewalling the Senate Judiciary Committee when they asked to see key documents. Who needs rank amateurs like former prosecutors a la Specter mucking things up, when all that is required is the ability to fire anyone trying to go after Wall Street, and a rubber stamp?

If I seem cynical, remember that this is the same SEC that has assured us that Reg SHO has resulted in a marked decrease in FTDs, even as we now know from the FOIA data that was a bald-faced lie.

If a regulator is willing to lie about how well its rules are working, what, precisely, stops them from lying about everything else? I mean, right up until the minute the FOIA requests hit, we were reading articles and hearing SEC officials proclaiming Reg SHO was working, blah blah blah.

And yet that provably isn't so. Even if you BK large FTD companies like Delta, and delist a bunch of hugely contributory companies from the pennies that have billions of FTDs, the sheer number still has increased.

So the SEC can be shown to be a regulator who lies, with abandon, to its guardians in Congress, as well as to the public it serves.

So why should it come as a surprise that a seemingly pre-ordained outcome, namely that a guy and a company with "too much juice," after having the head investigator disposed of, is absolved of all wrongdoing?

I'm reminded of the good old days in the South, where an accused farm hand could expect a fair trial, and then a hanging. It was dependable. Everyone knew how it was going to go. Anyone standing in the way of that "justice" was eliminated. Nobody needed those damned Yankees from up North meddling in their affairs.

Apparently NY has now developed the same defenses. On the one hand, in the recent Senate hearings, Specter was told that insider trading was "insidious and pervasive" - and yet on the other hand, the SEC just can't seem to find anyone that is doing it.

One wonders if today, Milken wouldn't have been exonerated, and his "witch hunt" arguments found purchase with a compliant media? With no Giulliani to drive the NY side of the fence, and no huge Wall Street banks hell bent on regaining the market share they had lost to Drexel, one has to wonder if the lead investigators wouldn't have just been disposed of, and after a whitewash, everyone declared innocent - in advance of any niggling paperwork or other formalities.

We sure have come a long way. This is so much more civilized. Hundreds of millions of shares aren't delivered to their buyers, with the overall number increasing even as more victims drop off the exchanges, gored by the miscreants, and that is the SEC's idea of progress - War is Peace, Freedom is Slavery. A seasoned investigator is fired after receiving accolades and pay increases, and we are the safer for it. Insider trading is insidious and ubiquitous, but the SEC can't find anyone doing it.

Here's an idea. Maybe if you didn't fire the guys who could find out who's doing it, you would have a better shot at it? Just an idea, mind you.

That Congress has allowed an out-of-control SEC to continue to abuse the notion of fair application of the rule of law is disheartening. Apparently no amount of dishonesty will get any sort of backlash from Congress - you can rescind subpoenas generated to discover what is going on, fire lead investigators, get caught in outright lies, ruin company valuations with bogus investigations, whatever - all in a day's work.

That no special prosecutor has been appointed speaks to an environment where statutory rapists are in charge of committees for the protection of minors, and our highest officials are routinely caught in blatant lies, and simply stare at the cameras defiantly - sending the clear message, "What are you going to do about it?"

And that is where we are with the SEC. Yeah, we lied. Yes, we can't find our ass with two hands if you are suitably "juiced" - so, what are you going to do about it?

That is really the only question, isn't it?

Copyright ©2006 Bob O'Brien
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Comments (46)
Re: SEC Clears Pequot, Mack, per CNBC By yoda on 10/5/2006 7:39 AM
link to article

http://www.marketwatch.com/news/story/story.aspx?guid=%7B3B8FE312-9396-45D4-9E92-9C32FF909C7F%7D
Re: SEC Clears Pequot, Mack, per CNBC By MarionPolk on 10/5/2006 7:44 AM
The SEC refused the Senate the documents because it was an "ongoing" investigation. Now that the "investigation" has been completed, the SEC must deliver the documents to the senate committee. Will you inform the senators that they should now renew the document request so that the SEC will re-re-open the investigation?
Re: SEC Clears Pequot, Mack, per CNBC By kevin on 10/5/2006 3:57 PM
I'm assuming the SEC is the enemy and we need to take it to the streets.

Congress can be changed. They work for us.
Re: SEC Clears Pequot, Mack, per CNBC By bbhindyou on 10/5/2006 4:19 PM
wicked at some point the cert well WILL run dry.
When the purchaser's of enough stocks can't get the certs they paid for the lights MUST go on and the average person will finally understand what we are buying dosn't exist.If the certs for large mainstream stocks can't be produced what will the dtcc's excuse be?
The companys so far that have shown a lack of certs being availible have been written off as being trivial.
How will the dtcc explain if half or more of the companys on the big exchanges have a lack of cert-ability?
If the only certs to be pulled are in companys like overstock the excuse mill will just continue to blame the companys.
If the certs can't be pulled for the big boy on the block companys how can the company be blamed?
If we drain the dtcc of certs across the board eventually the counterfitting must stop or become obvious to the masses.
If either of these things happen we win.
PULL ALL CERTS.
Re: SEC Clears Pequot, Mack, per CNBC By InTheKnow on 10/5/2006 5:14 PM
Davidn... What shares? They were never delivered to you in the first place. This is all part of the Ponzi Scheme of using your money for their benefit. SUCKERS!
Re: SEC Clears Pequot, Mack, per CNBC By hwh on 10/5/2006 5:44 PM
The Dems gaining too much ground. This would have been the last nail in the coffin so they hid the body. The stink will still lead to the same place...hwh
Re: SEC Clears Pequot, Mack, per CNBC By Selene on 10/5/2006 6:20 PM
Good good good.

Bob

Finally an acknowledgement that this isn't working as you would have hoped. Now what do we do about it?

Patrick said he gave information to Sen. McCain, well what is the Presidential hopeful going to do with that information??? Well I've always said you've got to lay this on one very influential man. Force him to bring the issue to the masses. Patrick has done well, but he can only go so far. Buffett would have been nice, but maybe he feels this is an issue for younger generations to solve. So McCain is our man. While we are at it, we can target his running mate, the sure to be Sen Lindsey Graham. Get them both up to speed and see what they do about it. If they drop the ball, then we run wild from our end on their presidential ambitions. It's an aweful thing to do, but all is fair in love and war.

If the fraud is as large as you guys say it is, then McCain should be able to be convinced of it. If he comes out and makes a public issue of it, then the American people will open their eyes. The press will have to cover it.

If he sees the fraud and doesn't do anything about it, then he is part of the problem and doesn't deserve to be President. I know this sound absolutely nuts, but you, we, us needs someone who the American people will trust and listen to.

Selene
Eric Blaire (nice to see you catching up on some 84) You should check out the truth about the drug companies or evidence of harm or FIASCO (the wall street one)
THE SYSTEM IS BROKE, but you already know this....
Re: SEC Clears Pequot, Mack, per CNBC By gregcable2002 on 10/5/2006 6:46 PM
Congress does what big money paid them to do,look the other way,Rome fell from within,everyone was on the take just like today,history repeating itself for THE VERY LAST TIME.Pull those certs,if you don't take a stand for something you'll fall for anything,and then it'll be to late.
Re: SEC Clears Pequot, Mack, per CNBC By mig on 10/5/2006 8:11 PM
I can't recall any company having even an informal inquiry by the SEC that got cleared up as fast as the investigation in pequat. If the SEC initiates an investigation into a company on the SHO list you can bet it takes 6-18 month minimum not 2 months. I guess you have to have power and influence to get your "investigation" fast tracked to dismissal.
Re: SEC Clears Pequot, Mack, per CNBC By mig on 10/5/2006 8:23 PM
BobO
I think this is worth a funny bunny blog. I keep getting a cartoon bubble in my head that goes something like this.

Cox: Judy get John Mack on the phone please.
Judy: Here he is sir.
Cox: Hi John how's it going...how's the family?
John: Good . How are the kids Chris?
Cox: Good. Say John I hate to do this but I have to ask you...did you trade G.E. using any insider information?
John: Ummm not that I can remember.
Cox: Thanks John. I had to ask. You know investigation and all. You can expect the investigation to be dropped in about a month. We have to appear as though we did something.
Re: SEC Clears Pequot, Mack, per CNBC By craig cunningham on 10/5/2006 10:37 PM
Folks, the game IS over, and the battle has begun. Many of you still cling to this notion that the government is here to protect you. They are not. They will give the guise of concern, the feign of action, and the hope of protection, but in the end can there be any question where their interest are aligned? Given that our wealth is at stake here, the question is: what are YOU going to do?

You can sit around and lament your poor misfortune, or you can get busy and start costing the hedge funds money. Check out operation double up. www.anathema-incarnate.blogspot.com
Re: SEC Clears Pequot, Mack, per CNBC By Liars Poker on 10/6/2006 4:29 AM
I very much doubt that John McCain will bite the hand that feeds him. Only a strategic plan such as Craigs will call their hands. Unfortunately I cannot double up right now but would be very interested as soon as I am able. Please count me in as a member of the "Bunny Rabbit Investment Club".
Re: SEC Clears Pequot, Mack, per CNBC By InTjeKnow on 10/6/2006 4:29 AM
Bill Moyers on a fucked up system:

http://www.pbs.org/moyers/moyersonamerica/capitol/index.html
Re: SEC Clears Pequot, Mack, per CNBC By Honkytonker on 10/6/2006 5:03 AM
Bobo,

Check out the POS on the Op Ed page of the NY Times today.
Note comments about upcoming Senate Panel By clearthinker on 10/6/2006 5:20 AM
PEQUOT CLEARED
By RODDY BOYD

October 6, 2006 -- The SEC will not be bringing insider-trading charges against hedge fund titan Pequot Capital Management or Morgan Stanley boss John Mack.

Mack - briefly an executive of the fund and a long-time friend of Pequot founder, Art Samberg - was informed that he was no longer a target of the SEC inquiry, a Morgan official said.

The Westport, Conn.-based Pequot, known for its equity investing prowess, shot into the spotlight over the summer when Gary Aguirre, a former SEC staff lawyer, suggested to a Senate panel that the fund might have engaged in insider trading back in 2001.

A letter from the firm to its investors yesterday said it had been cleared by the securities industry watchdog. Specifically, Aguirre said that the SEC dismissed him - despite stellar performance reviews - shortly after he sought to depose Mack.

Mack had been targeted because of his role running Credit Suisse First Boston, the adviser to Heller Financial, which was taken over in 2001 by GE.

Pequot, according to documents released in the matter, made $18 million when Heller was taken over.

Aguirre, in a freedom of information act filing, argued that Pequot had been investigated 18 separate times for possible insider trading violations.

For its part, Pequot officials angrily insisted that the GE-Heller deal had been long speculated about on Wall Street.

While Pequot and Mack appear to be out of the woods, Aguirre's charges will be heard in full in front of a Senate panel led by Arlen Specter (R-Pa.) in the coming weeks.

To Aguirre, there was little to be gained by what he considered the SEC's sham investigation into insider trading abuses.

"[Dropping the investigation] is a wholesome step forward for the SEC. For the past couple of months, it has been pretending to conduct an investigation. Now, it has stopped pretending," he told The Post.

roddy.boyd@nypost.com


Re: SEC Clears Pequot, Mack, per CNBC By ranger on 10/6/2006 5:30 AM
If everybody joins in on the trading it will change. The trading and the manipulation is only getting worse because the wrondoers are making profits doing it. If everybody joined in then nobody would make any money, the markets would crash and then it can all start all over again!
Re: SEC Clears Pequot, Mack, per CNBC By sec on 10/6/2006 6:41 AM
It would be interesting to see stats. like:

Convictions per SEC employee
Dollars spent on the SEC versus Fines Collected by the SEC

etc.

It's time to get rid of this beast from yesteryear.
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/6/2006 6:46 AM
Ranger....sorry...if the average guy does it, they will get tossed in jail
Re: SEC Clears Pequot, Mack, per CNBC By pennies on 10/6/2006 6:50 AM
The job of the market makers is to erase liquidity from the system.

I good way of understanding it is they wring investors cash out of their wallets as long as they can, then push the price to such a low level with such a wide spread that buy side liquidity stops.

When there is a lot of buying interest, they fill the orders at ever higher asking prices for a couple days until they suddenly refuse to raise the ask. They set up a "lid" with infinite selling.

Volume peaks, then as it starts to dry up, they start moving the lid down. They work together, communicating through ICQ as a cartel.

At first, the cheaper prices attract buying pressure, but at some point, no one wants to catch a falling knife.

They push the price way below the intrinsic value and below where the run started. They are intent on killing any buying momentum. No one wants to sell so far below fair value, so the selling drops.

They widen the spread between the bid and ask so wide that it discourages volume. Then leave the infinite ask lid so that buyers can buy as much as they want without ever moving the price up.

They can force a stock from trading many millions of shares a day to no shares a day.

The market makers don't care if they EVER buy back what they've sold. They are only concerned with getting the price of the collateral down as low as possible, so they can use the cash for something else.
Re: SEC Clears Pequot, Mack, per CNBC By kevin on 10/6/2006 7:33 AM
If this was an election issue, the problem would be solved quickly. I don't mean republicans or democrats. We need third party candidates: Mary, Patch and Bobo for president!

Unfortunately, the issue isn't even making a blip on the radar as the victims aren't aware how they are being ripped off.
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/6/2006 8:28 AM
The irony is that even if you went up to the average investor and told them that this is the reason why they have taken big hits on some of their stocks in their portfolio, it would sound too crazy for them to believe....
Re: SEC Clears Pequot, Mack, per CNBC-For Shame By ckza on 10/8/2006 9:33 AM
In the past, when Bob appeared on the Christian broadcast radio program, I believe he discounted my concerns which came through the network as a question by the host, surrounding the much larger macro issues to whom I'll describe as the "Hidden Hand." while others call them, "money changers, global elitists, international bankers, etc. Heresy or not, these issues will not be solved with the "status quo," i.e. the bought and paid for politicians regardless of their names; Hatch, McCain, or any others. Unless you gentlemen, ladies too, are prepared to bear up arms against these miscreants, I'm afraid that NOTHING will be done, and they will continue to dominate the RESOURCES of the EARTH for themselves. Legal WRANGLING in today's war on words has no meaning any longer. It's all designed to render any opposers powerless if they're attacking the powerful. Don't you know that, "I'm O.K. and so are you?" Right or wrong is reserved for those with the power and influence to determine when the areas of GREY MATTER inbetween our EARS are grey or otherwise. Start here, because Professor Quigley, a former Clinton professor at Georgetown, is not someone who should be DISCOUNTED. IMO

http://youtube.com/watch?v=KI7oxZuySrU

http://youtube.com/watch?v=J962qSC97JY


Re: SEC Clears Pequot, Mack, per CNBC By gregcable2002 on 10/5/2006 7:50 AM
Man has the ability to create wealth,it is God who allows us to enjoy it,point being,ill gotten gains are like a rock tied around your neck with you being thrown into the sea.
Re: SEC Clears Pequot, Mack, per CNBC By Little Bo peep on 10/5/2006 8:18 AM
remain seated, this show is far from over.
Re: SEC Clears Pequot, Mack, per CNBC By nah nah nah nah, good bye on 10/5/2006 8:19 AM
What is the process to close the SEC down and have stock fraud investigated as a criminal rather than a civil matter?

If we had politicians that believed this should happen, what would the steps be?
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/5/2006 8:24 AM
folks, the SEC has made it abundantly clear that they are going to impede, deny, railroad any attempt to discredit the system that they are so proud of. Only when Congress decides to take the SEC on will anything change. Until then, more of the same...
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/5/2006 8:26 AM
you mean the SEC has re-affirmed its own decision to fire Gary Aguirre...how clever
Re: SEC Clears Pequot, Mack, per CNBC By Mississipibluffs on 10/5/2006 8:26 AM
One hopes Specter, Hatch, er al. are in good health, and that they have long-lived ancestors.

"Cause this is going to take a while.
Re: SEC Clears Pequot, Mack, per CNBC By Niel Storts on 10/5/2006 8:26 AM
Good thing everything is normal in Flatland. You think that congress will bother with any further investigation now??????? Seems that the final recouse is the only option left. Good luck.
Re: SEC Clears Pequot, Mack, per CNBC By Patchie on 10/5/2006 8:36 AM
The SEC investigation was merely for show. Think of it this way, the SEC is a first base umpire who just called a runner safe. The mamanger of the team on the field (Senate) comes rushing out and cries fowl. Bad Call, Bad Call. The umpire respectfully listens to the tirades because he has to. In the end, did the umpire change the call - NO. Never!

For the SEC to admit they were wrong in their initial determination they would have exposed a possible cover-up. The best thing to do is to play your role regardless of the Big Screen TV showing the runner was only half way up the line when the ball arrived at first. It is better to be an idiot with conviction that an ethical person with the courage to admit error.
Re: SEC Clears Pequot, Mack, per CNBC By Paladin on 10/5/2006 8:59 AM

This is like the Nixon White House investigating Watergate and declaring its innocence.

We didn't buy that hogwash then and we're not buying it now!

**************
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/5/2006 9:18 AM
Does anyone know what the status of Specter/Hatch's investigation into the Aguirre case is? If so, please post here.
Re: SEC Clears Pequot, Mack, per CNBC By Yoda on 10/5/2006 9:24 AM
I feel some cold rage in you young Jedi. Don't let the dark side take hold of you.
Re: SEC Clears Pequot, Mack, per CNBC By particleswaves on 10/5/2006 9:33 AM
You could almost substitute "The SEC" for "God" in the following quote from Terry Pratchett and Neil Gaiman):

"God does not play dice with the universe: He plays an ineffable game of His own devising, which might be compared, from the perspective of any of the other players [i.e. everybody], to being involved in an obscure and complex variant of poker in a pitch-dark room, with blank cards, for infinite stakes, with a Dealer who won't tell you the rules, and who smiles all the time."

Re: SEC Clears Pequot, Mack, per CNBC By stryker-ny on 10/5/2006 9:48 AM
B obo..There has to be a way to embarass the SEC either through a newspaper add or someway else.This is bullshit how the government is in collusion with Wall Street to steal its own peoples money and dreams...Comon bunny...I know something is brewing in that devious mind of yours.....
Re: SEC Clears Pequot, Mack, per CNBC By bobo on 10/5/2006 11:02 AM
Here's what Aguirre has to say about it:

"This is exactly what I expected to have happen," Aguirre said in a telephone
interview with Dow Jones Newswires.

"As I testified before the Senate Judiciary Committee, the investigation was
over in June of 2005," said Aguirre. "The SEC has been pretending to conduct an investigation over the past two months. Now it's halted the investigation it was pretending to conduct."
Re: SEC Clears Pequot, Mack, per CNBC By bbhindyou on 10/5/2006 11:19 AM
Order your certs.
Hit the dtcc where it hurts.
Don't leave the market then the whole thing goes down and they win.
ORDER AS MANY CERTS AS YOU CAN
The certs are the dtcc's life blood without which the whole borrow scam CAN'T work.
Drain the dtcc, order certs,kill the monster drop by drop.
I ordered ALL my certs in every stock I own.
Please help me kill the monster.
It wont work unless we all do it.
Some times a problem is so big you wonder if anything at all can be done.
Don't give up start small.
The best thing you can do in this case is to start with what you CAN do.
ORDER CERTS.It WILL WORK.DRIP ,DRIP,DRIP.....
Re: SEC Clears Pequot, Mack, per CNBC By searrows on 10/5/2006 11:38 AM
Don't SEC investigations kast 7 years and 11 months ?
Re: SEC Clears Pequot, Mack, per CNBC By bobo on 10/5/2006 12:07 PM
You think that NFI got a phone call to let them know that the SEC probe was dropped? I have it on some authority that they always do that when these things are over.

So the 18 or whatever inicdences that Pequot was referred to the SEC for investigation were all coincidences, and there are plausible reasons why they just keep making these highly profitable innocent moves. Got it.
Re: SEC Clears Pequot, Mack, per CNBC By davidn on 10/5/2006 12:12 PM
If a stranger asked you to sign your life savings over to them, promising to give them back at some point in the future, would you?

No?

What if I told you you have already done that. By owning your stock in electronic form, you are trusting some anonymous private partnership to own your shares.

Your shares are literally OWNED by a mysterious private partnership, Cede & Co.

You give your shares to your brokerage.
They give your shares to the clearing brokerage.
They give your shares to the depository.
The depository gives your shares to the DTC.
The DTC gives your shares to Cede & Co.

Cede & Co. promises they'll give them back to you....

...everyone in the chain borrow and lend and buy and sell claims on YOUR SAVINGS, taking interest, commissions, fees, etc. along the way as they use claims on your assets to push the value of your investment down ....

...sucker!
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/5/2006 12:52 PM
Patchie;

Your comment reminds me of the story of a man caught cheating on his wife in their home. When confronted, the husband looks directly at his "consort" then looks directly into his wifes eyes and states calmly......


"What woman......?"
Re: SEC Clears Pequot, Mack, per CNBC By Wicked World on 10/5/2006 12:54 PM

NOTE TO SELF:

If I get hired (God forbid) at the SEC, remember to make copies of the evidence. Might come in handy.

Re: SEC Clears Pequot, Mack, per CNBC By Wicked World on 10/5/2006 1:02 PM

"folks, the SEC has made it abundantly clear that they are going to impede, deny, railroad any attempt to discredit the system that they are so proud of. Only when Congress decides to take the SEC on will anything change. Until then, more of the same... "


clearthinker, the takeaway for me is that the SEC is more powerful than Congress. The SEC is not afraid of the Judicial and does not oblige their requests. The Banking Committee sees no evil. All together = SEC more powerful.

Re: SEC Clears Pequot, Mack, per CNBC By Wicked World on 10/5/2006 1:13 PM

"Order your certs.
Hit the dtcc where it hurts.
Don't leave the market then the whole thing goes down and they win.
ORDER AS MANY CERTS AS YOU CAN
The certs are the dtcc's life blood without which the whole borrow scam CAN'T work.
Drain the dtcc, order certs,kill the monster drop by drop."


bb,
Let's say you me and the rest pulled all our certs (which I'm all for) in Company XYZ. And let's say, whether we knew it or not, that represented nearly 100% of the tradeable shares. Now somehow in all probability hundreds of thousands of "shares" will continue to trade daily.

But since none of the relevant laws are being enforced and the Powers that Be (such as the Banking Committe & SEC) think all is well, what would we be able to do about it?
Re: SEC Clears Pequot, Mack, per CNBC By Bag Holder on 10/5/2006 1:34 PM
Another tempest in a teapot

http://www.pcmag.com/article2/0,1895,2025069,00.asp

MySpace Founder Claims He Was Ripped Off

"Greenspan estimates that MySpace has grown by at least 60 percent since the 2005 transaction.

"News Corp.'s valuation has increased by $12 billion since the transaction occurred just one year ago, and there are several independent analysts today that agree that Myspace is worth tens of billions of dollars," Greenspan added. "It is time everyone knew the truth about the 'hijacking' of Myspace and the individuals responsible for this eye popping theft."

Greenspan accuses Intermix of withholding from shareholders the fact that MySpace's revenue was growing at a 1,200 percent annualized rate and convincing them that MySpace was unable to turn its massive traffic into revenues. He used senior executives at Intermix to gain information, including Chief Financial Officer Lisa Terrill and Chief Operating Officer Sherm Atkinson.

"For the first time the public can read what took place behind the scenes and how shareholders were blatantly misled into voting for a quick and unfair sale to News Corp.," Greenspan writes."
Re: SEC Clears Pequot, Mack, per CNBC By clearthinker on 10/5/2006 2:18 PM
it is right in front of us. If Congress does not stand up to the SEC now, it is game over...

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