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SEC's Crummy Record On Parade in WSJ

Location: Blogs Bob O'Brien's Sanity Check Blog    
Posted by:   bobo 10/27/2006 3:12 AM

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Apparently the SEC's record of non-pursuit of NSS cases isn't a singularity. Allowing Wall Street to rip-off mainstream investors is just one of their deficiencies, although by no means their smallest.

If you're a company that has been naked shorted into the ground, and is now unable to meet your listing requirements, you are going to get a can of whup-ass opened on you by our fine regulator. If you are a largely defenseless high profile CEO of a company a cartel of short sellers has made a huge negative bet on, you are going down in a very public way.

But if you're a hedge fund cartel serendipitously short a shocking number of Reg SHO list companies, or a reporter that's been helping them jack the system, you can sleep well - nobody will trouble you with embarrassing questions.

Here's a fun article from the WSJ, wherein the SEC's decline in enforcement actions is covered.

That's one way to show the bad guys. Prosecute less, and when you do, pick on companies at the end of their ropes versus well funded cartels of predators. Huh. How would you expect an agency largely believed in some circles to be captured by Wall Street to behave? Prosecute the folks being sued for malfeasance, again and again? Or go after Eagletech? Force the system to right the Global Crossing 99.7% reduction in their market cap, or go after Patrick Byrne?

That's a tough choice. Not a lot of delisted companies are going to be offering mid and upper level SEC staffers ten-times-the-money jobs when they get tired of looking the other way in their official positions.

Speaking of looking the other way, Richard "Don't fix it if it ain't broke" Shelby of the see-no-evil Senate Banking Committee issued a tersely worded snipe reminding us all of how his committee is the overseer of the SEC.

From Bloomberg: 

``Oversight of SEC enforcement of U.S. securities laws falls entirely under the jurisdiction of the banking committee,'' Jonathan Graffeo, a spokesman for Shelby, wrote today in an e- mail. ``The chairman does not feel that further regulation of hedge funds is necessary at this time; however the banking committee will continue to conduct vigilant oversight of hedge funds and the overall regulation of U.S. securities markets.''

Apparently Shelby has a short memory. Given that he did nothing, and completely missed (as did the SEC) EVERY major Wall Street scandal over the last decade or so, one has to wonder what the hell he and his buds were doing? Analyst scandal? No Shelby. Mutual fund frontrunning? Taking a powder. Specialist scandal? Out for a smoke. I mean, you'd have to be deaf, dumb and blind to miss these, and yet here he is, insisting that his special brand of oblivion should be the prevailing approach to regulating, or rather, not regulating, the Street.

So, given the massive outcry and media firestorm over naked short selling, where have the Banking Committee hearings been? Oh, nowhere. We'll have none of that. Tut tut. No probes into why hundreds of millions of FTDs are in the system daily, or why a company like Global Links can have its market cap slashed by 99.7%, with no regulatory action for two years. No questions as to how companies like NFI and KKD and OSTK can remain on the SHO list since day one, with virtually no break. No, apparently Shelby, in the best gangster tradition, is so selective in his focus that only praise emanates from his office - unless he is defending the rich special interests who are raping the investing public, in which case, inaction is the best action.

We have become a nation of lies, led by liars. Our elected officials routinely lie to our faces, and when confronted by the truth, pretend they can't see the data, or that the data isn't what it all so clearly is. The media goes along with it, and our regulators are towel boys to the biggest crooks on the planet. And it is getting worse, not better.

But we don't want anyone investigating our non-existent police force. Or, God forbid, regulating the largest financial power in the world - hedge funds, or as they were known in the Roaring Twenties, "Stock Pools." I mean, self-regulation worked so well then, why mess with such a successful formula? It's not like the world could be plunged into a decade-long global depression by their misbehavior....

And of course, Harvey Pitt would agree, as he did on Bloomberg yesterday. No investigating the cops. That's bad. There's no need.

Again, years on the SHO list? Not a problem. Aguirre fired after big merit increase and glowing review. Elephant, what elephant?

Wall Street is circling the wagons. And they can afford the best. Expect the rhetoric to heat up, with outraged outcry over the notion that our ineffective regulators should be held to any standard above paper shuffling and inaction on the big issues.

And thank heavens for Grassley, who apparently, along with Specter, understands the scale of the larceny at play.

Which actually isn't hard, at all. Maybe Shelby should go back and read a bit on the Pecora hearings before his next rubber-stamp and back slapping session in the SBP?

Some days I feel like Jon Stewart, playing clips of our top brass caught in complete lies, as they try mightily to rewrite recent history. It's really all the same side of the same coin - a societal acceptance of the most onerous sort of crookery and dishonesty. In today's climate, I have a feeling Nixon wouldn't have faced impeachment over Watergate - he would have been instead offered a tell-all book deal, and had Oprah to the White House to do a multi-part special on how honest the system was, and how effective at protecting the population it had been.

We are watching real time as our financial system re-distributes the wealth of anyone stupid enough to participate in its rigged game. The most heinous and obvious crookery is glossed over, while our regulators count paper clips and count the minutes until they can be getting seven figure gigs attending conferences held by and for Wall Street.

But ya don't wanna fix it if it ain't broke....

Speaking of egregious breaches of ethics and insider trading rules, here's a clip of Jim Cramer speaking at a recent event, wherein he appears to describe obtaining non-public information from a broker. You know, because it's just the way things work. Go to about minute number two as he describes being given the partnership agreements for Enron - info the public didn't know and had no way of trading on - basically a textbook case of insider trading, described by a hedge fund manager.

Of course, this won't be investigated by anyone. Jimbo is a member of "the media" - thus, if he admitted to having a body in the trunk of his car, anyone investigating would be toying with his free speech.

Anyone see how out of whack this all is?

Copyright ©2006 Bob O'Brien
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Comments (35)
Re: SEC's Crummy Record On Parade in WSJ By InTheKnow on 10/27/2006 8:29 AM
If Shelby were a CEO of any corporation he would be fired for incompetency.
Re: SEC's Crummy Record On Parade in WSJ By liars twist and shout on 10/27/2006 8:52 AM
now you see me, now you don't.

some manipulators are good at making good people believe
the shit they sell.......but now STINKY'S DAYS are numbered.

doesn't matter how much stinky twist and shout
as they jump about.
Re: SEC's Crummy Record On Parade in WSJ By Garden of Evil on 10/28/2006 8:30 AM
http://www.nypost.com/seven/10232006/business/rotten_fruit_hanging_from_wisdomtree_business_christopher_byron.htm

ROTTEN FRUIT HANGING FROM WISDOMTREE

October 23, 2006 -- AS the publisher of a gussied up penny stock tout sheet called Individual Investor Magazine, Jonathan Steinberg ran a few laps in Wall Street's race of the almost famous in the 1990s.

...

THOUGH he has been reduced to little more than a hired gun in his own company, Jono has come out best of all. In March 2004, he paid $150,000 for 5 million shares of the company at 3 cents a share. This has brought him an unrealized gain of over 16,000 percent, or $24 million, simply by riding the reputational coattails of Steinhardt.
Unfortunately, the easy money in WisdomTree may have already been made, unless one thinks that this development-stage operation, unencumbered by either customers or revenues, is likely to command a richer valuation in the market than even Google, which is currently selling for close to 34 times Wall Street's consensus forecast of $13.62 in year-ahead earnings.
Re: SEC's Crummy Record On Parade in WSJ By phantomshares on 10/28/2006 9:19 AM
Everyone should send this story to their own state newspapers and local politicians. Could this be the beginning of the end of the media blackout?

http://www.denverpost.com/ci_4494028
Re: SEC's Crummy Record On Parade in WSJ By Browntrout on 10/28/2006 9:25 AM
ReducingExposure- You missed my point. If the SEC is helping the NSCC by passing a rule almost in the dark that deals with ex-clearing and now, according to Patrick Byrne; claim that they are unaware of ex-clearing transactions occurring.
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/28/2006 9:46 AM
Do you have a link to the Byrne quote?
Re: SEC's Crummy Record On Parade in WSJ By Browntrout on 10/28/2006 9:52 AM
ReducingExposure-
http://www.investorvillage.com/smbd.asp?mb=4148&mn=17749&pt=msg&mid=660164
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/28/2006 10:08 AM
They're full of shite.

Ex-Clearing/Non-Standard Settlement Project

http://www.nasdaqtrader.com/trader/news/2004/technicalupdates/tu2004-013.stm

http://www.sec.gov/rules/sro/sccp/34-49492.pdf

Self-Regulatory Organizations; Stock Clearing Corporation of Philadelphia; Order Approving a Proposed Rule Change Relating to Ex-Clearing Account Transactions
Re: SEC's Crummy Record On Parade in WSJ By InTheKnow on 10/28/2006 1:25 PM
Oh my god!.... they lie to us about ex-clearing.

WHAT THE HELL ELSE IS NEW? They're a bunch of corrupt lying scmbags and they know what they have brought to bare.
Re: SEC's Crummy Record On Parade in WSJ By gary weiss = frankiedarrow (yahoo) = mantmoreland on 10/29/2006 10:33 AM
Someone's doing a number on Gary, busting his b.s. on the ostk yahoo board.

Turns out that OSTK basher "Frankiedarrow" is an alias that writes just like Gary, and that alias is from movies that also had a "Matan Moreland" in them.

Funniest thing I've read this week. Read "frankiedarrow" (er, Gary) posts on Yahoo. The vitriol for Patrick Byrne is hilarious.
Re: SEC's Crummy Record On Parade in WSJ By He's Sleazy on 10/29/2006 12:23 PM
He's a sleazy weasel with an inferiority complex.
Re: SEC's Crummy Record On Parade in WSJ By mhelburn on 10/27/2006 8:57 AM
Has the statutes of limitations run out on that trade?
Re: SEC's Crummy Record On Parade in WSJ By dovp on 10/27/2006 9:26 AM
I have no personal stake in this company, but did lose money on it several months ago, so I keep it on my watch list.

Look at this chart:

http://bigcharts.marketwatch.com/quickchart/quickchart.asp?symb=dovp&sid=0&o_symb=dovp

Retailers were buying at $20 last March, but the counterfeiters had issued the company a $70 million bond with some fine print that said the money needed to be returned in full if the company was delisted.

Even though the company still has $60 million of that money left, someone counterfeited their shares down to $.33. The NASD has created an arbitrary rule that has nothing to do with market cap. that if a company trades below $1, it is toast.

On the way down, the bond holders forced management to resign so they could take control of the company.

Today, they were delisted to the pink sheets and a press release came out saying they were $10 million short of being able to repay the $70 million loan and would have to declare bankruptcy.

The next thing that will happen is the kindly bondholders / counterfeiters will forgive the debt by converting it into equity. They will cover their IOU's with the retailer's money, then restructure, possibly rolling the stock back to screw the retailers out of their shares.

I bet you a year from now, the stock is back above $10 with the thieves in control.
Re: SEC's Crummy Record On Parade in WSJ By bobo on 10/27/2006 9:37 AM
Dunno, Mary. I suspect if he is mentioning it, it has. But then again, that presumes that the SEC would follow up on and prosecute and admission-laden insider trading case. My guess is that unless it is a low-level flunky, not a chance.
Re: SEC's Crummy Record On Parade in WSJ By Wonder Boy on 10/27/2006 10:48 AM
If things are just fine at the SEC, they should pass the changes suggested to Reg SHO by so many citizens and enforce them. It shouldn't take long to see if any repurcussions occur in the market. The SEC has the full backing of Shelby.
Re: SEC's Crummy Record On Parade in WSJ By CMElec on 10/27/2006 11:28 AM
<<< We have become a nation of lies, led by liars. >>>

Brought about by the culture of liars that breed our politicians and law making bodies.... lawyers (must be a "latin" word for liars). Who rather than address the whole truth will render it a weak by "couching" lies into dealmaking to make everyone temporarily "happy", not whole, or in jail as it should be.

As honest folk who aren't clever liars, we have a hard time understanding their contrived "truths" that rely on a misplaced trust.

What they have blinded themselves with is the fact that we will remain placid forever.... BIG MISTAKE.
Re: SEC's Crummy Record On Parade in WSJ By better come clean NOW THUGS, no place to hide on 10/27/2006 1:02 PM
Safavian wept as he asked for leniency in his obstruction of justice case, telling a judge that Abramoff manipulated him and drew him into the scandal.

http://www1.investorvillage.com/smbd.asp?mb=4148&mn=18549&pt=msg&mid=708600
Re: SEC's Crummy Record On Parade in WSJ By hear loud footsteps on 10/27/2006 1:06 PM
JPMorgan says Banc One unit got SEC inquiry letter

http://today.reuters.com/news/articleinvesting.aspx?storyID=urn:newsml:reuters.com:20061027:MTFH57024_2006-10-27_20-34-41_N27223738&type=comktNews
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/27/2006 2:39 PM
http://www.sec.gov/rules/sro/nscc/34-53528.pdf

This buy in rule was passed in secrecy ealier this year,

The situation was that they were short to someone x-clearing, but someone was short to them within the CNS. The danger is they could be bought in for their x-clearing fails.

"Notice of the proposal was published in the Federal Register on December 27, 2005. No comment letters were received. For the reasons discussed below, the Commission is approving the proposed rule change."

"The purpose of this filing is to...to assist NSCC members in reducing their exposure related to buy-ins."
Re: SEC's Crummy Record On Parade in WSJ By CramerOnEnronInHistory on 10/27/2006 3:22 PM
Cramer on Enron:

"But the one that really struck me as genuinely different this time, is the reductions in electricity and natural gas prices that an outfit like Enron (ENE:NYSE - news) is bringing to the American industrial and consumer concerns. Ken Lay point blank said the prices of electricity and natural gas have come down 40% in areas where his company is allowed to go head to head with the old local monopolists. Think about that. How can we not have more purchasing power when our electric bill gets cut from $100 to $60, a month, a monster savings? And Enron is prepared to lower those costs for you wherever the regulators let them."

"As dramatic as these price reductions are, the pricing power being put at the hands of the consumer by the Internet, the subject of Thursday's Squawk, is far more dramatic." --- James Cramer 5/8/98

http://www.thestreet.com/_tscs/comment/wrongrear/31538.html

Cramer Explains Why the Inflation Watchers Will Have to Wait
By James J. Cramer

5/8/98 12:59 PM ET
-------------------------------------------------------------------

"Creme_Delacramer: Enron is certainly for real." James Cramer CHAT: On the Hot Seat 2/10/00 7:47 PM ET http://www.thestreet.com/_tscs/comment/cfeatures/881899.html

=============================================
nwcapitalist asks: Is ENE for real?

Creme_Delacramer: Enron is certainly for real.

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

Aaron L. Task (The TaskMaster) column which lit the lightbulb in Cramers head that Enron was a good investment at the time.
=============================================


Turn on Your Heart Light
Dined last night at Scala's Bistro courtesy of my fiancee's (sorry gals) cousin, who happens to be heavily involved in power marketing.

After he explained the intricacies of utility deregulation (did I mention the delicious calamari appetizer?) and said we will all someday be able to choose our energy provider (just like long distance!), I asked cousin to get down to brass wire -- what should investors do?

Eventually, he said, a few big outfits will offer the entire range of utilities, including telecommunications as well as gas, electric, and water. Being a fan of those strangely compelling cartoons, I asked about Williams Cos (WMB:NYSE) which boasts a very profitable telecom business.

Yes, Williams is at the forefront but my future in-law was far more enamored with Enron (ENE:NYSE). If I was Maria Bartiromo and he was an analyst, I would say cousin was "pounding the table" on Enron. But I'm not and he isn't. Interestingly, he's also NOT employed by Enron but by a rival who I won't name to protect his job (he's family, after all, and I'm hoping for a nice wedding gift).

Enron rose a fraction today but the stock has been anything but a boring utility. The shares have climbed steadily since the market's lows of last September and roughly doubled in that time span. A 2-for-1 stock split is scheduled to take effect Aug. 13. (Entry point, anyone?)

Cousin also recommended would-be investors search for regional power companies, believing their days as independents are few. (I never got to ask for specifics because the main course was being served and "the missis" was giving me those "stop talking about business" glances, effectively supported by a few "stop this now" kicks under the table.)

Ain't love grand?

http://www.thestreet.com/_tscs/comment/taskmaster/769070.html

Commentary : The TaskMaster


Taulli Confirms His New Job at Internet.com
By Aaron L. Task
Senior Writer
7/28/99 10:42 PM ET

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

"A second insight came last night from Aaron Task's column, in which he mentions Enron (ENE:NYSE). I love an insight from someone in a business I don't know telling me about how to make money. I am using this tidbit to talk to analysts about how Enron may be doing and getting ready to pounce if the stock suffers from some market-related dislocation." James Cramer 7/29/99

http://www.thestreet.com/_tscs/comment/wrongtactics/769104.html

Getting Insights From the Site
By James J. Cramer

7/29/99 11:38 AM ET
Re: SEC's Crummy Record On Parade in WSJ By CramerOnEnronInHistory on 10/27/2006 3:29 PM
By a strange confluence, Sun Microsystems was busy acknowledging a big order from Enron (ENE:NYSE - news) and everybody got too excited ahead of the number. I just bought 5,000 shares at 84. -James Cramer 1/20/00

http://www.thestreet.com/_tscs/comment/wrongrear/866021.html

Sun Shines Bright, Then Sets
By James J. Cramer

1/20/00 4:22 PM ET
Re: SEC's Crummy Record On Parade in WSJ By kevin on 10/27/2006 3:40 PM
ReducuingExposure, good to see the SEC was busy reducing exposure of the clearing groups to naked shorting right about the time we were asking the SEC to do something about it.

They seem to do the opposite of what is required.
Re: SEC's Crummy Record On Parade in WSJ By Bobo on 10/27/2006 4:29 PM
So Cramer was busy pushing Enron even as he was in posession of non-public info which he now says caused him to believe they were a scam? Wonder if any short positions were taken out on the run-up? Better to short from a height than on the way down.

I suppose if you are a pathological liar, working on Wall Street comes naturally.
Re: SEC's Crummy Record On Parade in WSJ By tossin, turnin, squrimin on 10/27/2006 4:33 PM
ReducingExposure do you have the goods on the people that put
the rules together and pushed it through?
Re: SEC's Crummy Record On Parade in WSJ By Browntrout on 10/27/2006 4:48 PM
ReducingExposure - I thought the SEC is now claiming that they are and have been unaware of ex-clearing occuring. This statement was made by Patrick Byrne last week at the naked shorting seminar.
Re: SEC's Crummy Record On Parade in WSJ By Selene on 10/27/2006 5:01 PM
Bob

I think a lot of us are floored by that Cramer video...

Selene
Re: SEC's Crummy Record On Parade in WSJ By Put on your tin foil hat on 10/27/2006 5:41 PM
JPMorgan Chase & Co., the third-largest U.S. bank, said
Friday that the Securities and Exchange Commission has asked for information on a company that provided services to Bank One mutual funds.
JPMorgan Chase acquired Bank One, which had been based in Chicago, in 2004. The SEC is investigating 27 mutual fund companies that it says have siphoned hundreds of millions of dollars from investors by secretly taking kickbacks from
contractors seeking to provide services to fund companies, The Wall Street Journal reported Thursday.

http://www.advfn.com/news_SEC-queries-JPMorgan-on-Bisys_17442915.html
Re: SEC's Crummy Record On Parade in WSJ By CramerOnEnronInHistory on 10/27/2006 5:50 PM
Cramer's quotes on enron deserves a funnybunny blogg Bob

You have not done one in a while.

Would be a good chuckle.

Re: SEC's Crummy Record On Parade in WSJ By CramerOnEnronInHistory on 10/28/2006 6:31 AM
Drug researchers leak secrets to Wall St.
By Luke Timmerman and David Heath Seattle Times staff reporters

August 7, 2005

"Brokerage firms also serve as matchmakers for their best clients by setting up conference calls with medical researchers. Typically, brokerage firms invite 10 to 40 hedge-fund or mutual-fund clients to participate in these calls, said Fariba Ghodsian, an analyst at a hedge fund in Los Angeles. Small investors don't have access."

http://seattletimes.nwsource.com/html/businesstechnology/drugsecrets1.html
Re: SEC's Crummy Record On Parade in WSJ By hummingbirdair on 10/28/2006 6:40 AM
https://registration.ft.com/registration/barrier?referer=http://www.ft.com/home/us&location=http%3A//www.ft.com/cms/s/29879c46-65f7-11db-a4fc-0000779e2340.htm


looks like foreign investrs are starting to pay attention to the rigged game.
This is from today's FT, you can log on for a 15 day free tria to read the whole article on line. It's front page in the print editionl
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/28/2006 7:38 AM
http://www.sec.gov/rules/sro/nscc/34-53528.pdf

Browntrout, they are definitely talking about x-clearing which is simply a trade done outside the CNS system. It sounds like they are trying to make the x-clearing and CNS rules the same.

"At times, an NSCC member will be in receipt of a buy-in notice initiated outside of the CNS system while at the same time be failing to receive shares from CNS in the same security."

"Accordingly, the new procedure provides that an NSCC member which has a long position in CNS at the end of any day (i.e., a fail to receive) and which is in receipt of a buy-in notice for securities of the same CUSIP that was initiated outside of the CNS System may submit a “Buy-In Retransmittal Notice” to NSCC. If the Buy-In Position (or a portion thereof) that is the subject of the Buy-In Retransmittal Notice is not satisfied by 3:00 p.m. on N+1, the buy-in can be executed. The Buy-In Retransmittal Notice will identify the entity that initiated the buy-in against the member."

You can see where the SEC's head is at, though.

"...to assist NSCC members in reducing their exposure related to buy-ins".
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/28/2006 7:39 AM
"Notice of the proposal was published in the Federal Register on December 27, 2005.2 No comment letters were received."
Re: SEC's Crummy Record On Parade in WSJ By ReducingExposure on 10/28/2006 7:41 AM
Note to the SEC:

A fail to receive is not a long position.
Re: SEC's Crummy Record On Parade in WSJ By kevin on 10/28/2006 8:15 AM
Must be nice to be invited onto a team with sole intent to manipulate the markets with derivitives. The plunge protection team uses government money to buy or short to keep stocks from following the natural laws of supply and demand.

The purpose of it is to protect the privately owned federal reserve system.

http://www.nypost.com/seven/10262006/business/treasurys_paulson_plays_with_the_plunge_protectors_business_john_crudele.htm
Re: SEC's Crummy Record On Parade in WSJ By kevin on 10/28/2006 8:16 AM
http://www.nypost.com/seven/10262006/business/
treasurys_paulson_plays_with_the_plunge_protectors_business_john_crudele.htm

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