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The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts

Location: Blogs Bob O'Brien's Sanity Check Blog    
Posted by:   bobo 2/15/2007 9:36 PM

First, let me say that I find the Motley Fool about as useful for meaningful business coverage as I find Ranger Rick useful for meaningful information on epidemiology.

What was once a reasonable idea, has devolved into another mouthpiece for Wall Street affirmations and propaganda dissemination.

That actually covers most of the NY financial press, so they are in good company.

Occasionally though, someone will alert me to some jabber that they believe I might find relevant or entertaining - usually erroneously, but what the heck, everyone's a critic.

The Fool jumped on the Gradient/SEC bandwagon today, stretching the facts to arrive at some startling conclusions. You can read the ruminations here, if you think they might be of interest.

We agree on one thing. This isn't receiving nearly enough coverage.

However, I think 'ol Seth won't like the rest of this piece. I can actually guarantee it.

Word out of the Beltway today is that Gradient's PR flacks are working overtime to spin this as the SEC clearing Gradient of wrongdoing.

Tut tut. That would be nice, wouldn't it? I mean, if one simply ignores, as has Seth and the Fool, Senators Specter and Grassley concluding that the SEC is either incapable of running a coherent investigation, or is a tool for Wall Street cover-ups and obstruction of justice. I suppose Seth feels that the SEC terminating the investigation should be heralded, but the findings of the Senate Judiciary don't merit attention.

To which I say, hmmmm, how odd, one of the biggest stories of the year being the watchdog of the markets engaging in a cover-up for Wall Street powerhouses, and not a word out of most of the NY financial press, or the Motley Fool. Isn't that something? That is actually hard fact, recently breaking big news, and yet Seth goes deaf and dumb on it. Big story. No coverage to speak of. How very odd.

But a non-public company in flyspeck Arizona has their investigation terminated, surprising nobody, and it is worthy of his mighty quill's furious machinations.

Here's my take:

I hear the spin is that the SEC couldn't corroborate the stories of the, what, 8 witnesses who testified under oath to tell the truth, and nothing but the truth, so help they God, and under penalty of perjury.

Just couldn't prove it true or false, so gave up. You know, because knowing whether they were all lying on the record is so, well, uh, difficult, and stuff.

Which doesn't surprise me given the way they went about the Aguirre investigation, which consisted of cover-up and obstruction of justice, per the good Senators.

Here are some reasonable questions that the SEC and Seth and the rest of the suck-up financial press have failed to ask or answer...but perhaps some of you can ask them, and see what their responses are, presuming they don't just pull a DTCC and stonewall you? I don't particularly care much, but it would be amusing to see them twist and backpedal like boneless Chinese twin acrobats.

1) The witnesses testified to specific telephone conversations where hedge funds, research writers, and "reporters" were on conference calls and in constant telephone communications, colluding to fabricate research and time short positions to maximize the financial gain to be had by the dissemination of the "research" findings. Did the SEC ever pull the telephone records of those hedge funds, research writers and "reporters" to see if they were actually on those calls?

2) If so, what did they find? Were they all in constant phone and IM communication, or was it a fabrication?

3) If a fabrication, is the SEC planning to go after the affiants criminally via the DOJ for committing perjury? They should. Unless they are afraid that the truth will be used as the defense, and the records introduced into the record, where they will have been in fact on the calls - making the SEC look as honest as the petroleum official in the latest email I got from Nigeria.

4) If the hedge funds, research firm and "reporters" were in fact on the line when the affiants claim, is the SEC's position that just isn't incriminating enough? As in, "Well, we don't have video of the hedge fund guy laughingly asking which bank account to transfer the offshore funds to for the reporter and researcher for writing the hatchet job, so barring that, no proof is enough proof?" Or, "How can we really know anything, really? They could have been exchanging recipes, or chitty chatting about the weather - it doesn't necessarily mean they were involved in a RICO-style collusive criminal scheme, that they repeated over and over and over with multiple companies on multiple occasions...I mean, all those affiants could just be bad people, or possessed by demons, or confused....?"

5) Did the SEC ever do anything besides ask Gradient if they had been bad, and when they said no, take them at their word? If so, what did they do that the Fool and the Post and the rest find so compelling? Or did they have a list of hedge fund personnel with too much "juice" to interview, as in the Aguirre matter? Did they interview any of the people accused of being bad? All of them? None? We know that Cox couldn't quash the subpoenas to the journalists fast enough, so barring pulling their phone and email records, how did they go about determining that what is sworn testimony, is actually unknowable for even marginally skilled investigators - presuming the SEC has any left who haven't been fired when they get too close to a bigwig?

My take is that discovery in the lawsuits is going to show what the Senate already knows - that the SEC is a petty, corrupt, vindictive tool of special interests on Wall Street, used as an attack dog against public companies targeted by large hedge funds for bear raids, and as an obstructionist enabler by the brokerage interests on Wall Street - passing rules that clearly violate the letter and spirit of the 1933 and 1934 Acts so that Wall Street can rob the rank and file blind.

That the media machine has both ignored that the SEC should be getting the cuffs put on them now - after Grassley and Specter basically came out and called them lying liars lying about their lying - as well as celebrated the predictable and ritualistic throwing-in-of-the-hardly-used towel, merely confirms how badly broken this system is. I mean, that's a tall order, that kind of selective blindness. Ignore the SEC is bent and being called bent by the Senate Judiciary, while claiming the bent SEC's dropping an investigation they publicly killed before it could even get a week old means something other than the obvious.

My back hurts just from imagining the contortions that requires.

I wish I could tell you that this isn't exactly what it looks like - that the media, Wall Street, the regulators, and much of government is involved in a massive abuse of the citizenry they are hoping we are all too stupid or preoccupied to recognize as such.

But I can't. It is. We as a nation lose. And the direction from here is down, unless this ship gets turned around. Which apparently most of the stewards are reluctant or incapable of doing.

On another note, not everyone is so busy watching the boob tube or wondering what killed Anna-Nicole or buying poorly designed and built 10MPG SUVs, that they haven't noticed the theft of a generation's wealth. This letter at the SEC site is a great example that what everyone in the media and on Wall Street and at the SEC is busy pretending isn't obvious, is, in fact, completely obvious to many thinking upright bipeds.

That the SEC has delayed doing what they should have done for years, namely fixing SHO so it complies with the 1934's mandates (not options or hints or suggestions or, "hey, if you get around to it after all your important stuff is done" advice) is yet more evidence that we are the tipsy 18-year old cheerleader, and Wall Street is the escaped-from-prison-felon with an amorous agenda and a precocious style. And the SEC is offering him coke and tequila, and telling him we're just asking for it.

Nice, huh?

And that's the tame version.

What's it going to take to get a special prosecutor and some hearings? Do they have to find Patrick's head stuck to his grill like a hood ornament with, "Don't mess with Wall Street" scrawled across the windshield before they understand how out of control this has gotten? I mean, Keerist, how frigging huge and obvious and wrong does this have to get?

BTW, if you feel that these little blog trifles are of merit, note the Digg It button at the bottom right of your screen. Take out a second and Digg these blogs - they get far wider coverage that way, which should alert more people to the situation, which should get even more folks Digging it, and so on.

Copyright ©2007 Bob O'Brien
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Comments (41)
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Sean on 2/15/2007 10:45 PM
It's time!!

Historian and VFP member, Howard Zinn says it best: “Civil disobedience is not our problem. Our problem is civil obedience. Our problem is that people all over the world have obeyed the dictates of leaders…and millions have been killed because of this obedience…Our problem is that people are obedient all over the world in the face of poverty and starvation and stupidity, and war, and cruelty. Our problem is that people are obedient while the jails are full of petty thieves…(and) the grand thieves are running the country. That’s our problem."

Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By InTheKnow on 2/16/2007 12:28 AM
It seems that a lot of people don't understand the power of the web/internet and that times have changed. Government is no longer seen, by the masses, as the almighty word of truth, justice and the American way.
We can see the transparency of what was once a mighty government and all the corruption is now glaring at us full force. There is no place for the crooks to hide anymore and for sure truth and justice will prevail.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By then the gubmint is a thief on 2/17/2007 9:02 AM
wow, i've just fallen off my seat!
if there is truth to PPT's existence, then this info bears repeating...
...
"Our suspicion has been that the "Working Group" established by law in 1988 to buy markets should declines get out of control, has become far more interventionist than was originally intended under the law... no minutes of meetings, no recorded phone conversations, no reports of activities, no announcements of intentions. It is a secret group including the Chairman of the Federal Reserve, the Secretary of the Treasury, the Head of the SEC, and their surrogates which include some of the large Wall Street firms. The original objective was to prevent disastrous market crashes. Lately, it seems, they buy markets when they decide markets need to be bought, including equity markets. Their main resource is the money the Fed print..."

WHO decides when markets should be "bought"
WHO decides WHICH assets should be "bought"
WHO is privy to this info that the public investors don't know about
and does this PPT ever sell back these issues & when.

if this situation exists, then of course we have no free market force for investors, instead they are risking their earning into an elite interventionist manipulated market.

so.l Robert McHugh, good for you trying to make lemonade out of getting handed this lemon. however, this is just one round of "corporate in bed w. gubmint" abuse that is constantly terrorizing a free & fair market system. and each time, we lose our long labored savings. the theft just keeps going with each new loophole game.
we work, we give it back, we have to work more to make up our loss, we get taken again...work longer, get your children to work...
for the man,,,uncle sam & comp, inc. gets it all.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By nutrasour on 2/17/2007 9:32 AM
Bob,

You said that 'Senators Specter and Grassley concluding that the SEC is either incapable of running a coherent investigation, or is a tool for Wall Street cover-ups and obstruction of justice' is this just your interpretation of what they actually said and if not can you direct me to their statement I appreciate it.

Also in this statement 'The witnesses testified to specific telephone conversations where hedge funds, research writers, and "reporters" were on conference calls and in constant telephone communications, colluding to fabricate research and time short positions to maximize the financial gain to be had by the dissemination of the "research" findings' did any of the witnesses really claim they overheard a conversation where there was collusion between hedge funds and reporters and if so can you direct me to the particular affidavit and part of the affidavit?

Someone can claim you are a child molester but without some actual evidence it isn't going to get very far and there is always the possibiilty that the people making the claims really are fabricating stuff.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By zimmer on 2/17/2007 2:21 PM
Hey InTheKnow .... what's all this ....

"Bobo has something huge."

.... talk all about?

Does that pertain to this topic specifically, or is something else coming ?
I know that Bud B. mentioned in one of his blogs, that something BIG is gonna happen soon ... ????
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By where is everyone on 2/18/2007 4:37 PM
the possibility of this PPT authority is some of the most chilling info yet.
if quasi govt can interfere in the buying & selling of market assets, then they can send share prices on "chosen" equities up & down at will.
suppose they decide they don't want GE shareprice to decline. they have the power to infuse newly created money into the system via reserve banks to buy GE shares keeping the shareprice artificially high. (this is just an example, could be any equity).
then the companies that dont get this artificial subsidy lose by comparison. these forces are interfering in the stock market & taking no risk. but they are knowledgable of the shareprice "goose" before any other investors.
if this is the case, WE ARE BEING CHEATED!

can anyone verify the existence of such stealth trades?
how do we get answers from this working group...anyone know how to contact them?
i want my benefits manager who runs my 401K to check that i am NOT engaging in a market that allows trading without taking on the attached market risk.
i'm surprised no one else is concerned about this. if there is definitely no participation in the markets by parties that have no fiscal risk, please let me know.
guess everyone's out celebrating our presidents. considering our present situation, i'm sitting this one out.
happy chinese new years! oink oink...here comes china!
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By InTheKnow on 2/18/2007 5:43 PM
There is a letter to Congress from the Chamber of Commerce of the United States asking for a congressional investigation into the counterfeiting of stocks.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By oldfeller on 2/18/2007 10:19 PM
re: plunge protection. Great article on what amounts to government sanctioned investments.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By InTheKnow on 2/19/2007 3:58 AM
The letter from the US Chamber of Commerce

DAVIDCHAVERN 1615 H STREET, N.W.
D.C. 20062-2000CHIEFOPERATING WASHINGTON,
OFFICER
8~SENIOR February 16,2007 2021463-3101 .2021463-5327 FAX
VICE PRESIDENT
dchavcln@t~schambercom

The Honorable Christopher J. Dodd
Chairman, Committee on Banking, Housing, and Urban Affairs
United States Senate
Russell Senate Office Bullding
SR-448
Washington, DC 20510-0702

The Honorable Barney Frank
Chairman, Committee on Financial Services
United States House of Representatives
Rayburn House Office Buildmg, 2252
Washgton, DC 20515-2104

Dear Chairman Dodd and Chairman Frank:
The U.S. Chamber of Commerce is the largest business federation in the world, representing the interests of some three don companies of every size and industry. I am writing to urge you to consider holding hearings on the role that manipulative and fraudulent short selling has on the market and on public companies.
This is an important issue that is not sufficiently understood or appreciated by the general public. Solutions to this issue should be carefully crafted to ensure they do not discourage legitimate short selling or other legitimate practices that add liquidity to our capital markets and enable market participants to manage risk
Legitimate short selling plays an important role in our capital markets. However, under the current system there are still too many illegitimate or naked short sales. We believe that congressional interest on this issue is warranted given the impact of the activity on new and growing companies.

Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Sean on 2/19/2007 8:28 AM
Good Morning Folks ..I think we have liftoff!!!

Wall Street's next scandal
The SEC is investigating whether some of Wall Street's top investment banks are using inside information. Fortune's Shawn Tully explores the potentially explosive scandal.
By Shawn Tully, Fortune editor-at-large
February 19 2007: 7:20 AM EST


(Fortune Magazine) -- In early February, the SEC confirmed that it was investigating whether the major brokerage houses were tipping off hedge funds to the trades the brokers handle for big clients like mutual funds. If that's happening, it would be a scandal.

The SEC is also likely to scour trading records to see if the brokers are using info about clients' moves to invest their own capital. If the SEC finds evidence that they are, the scandal would be enormous - and go to the heart of Wall Street's profit machine.


Bull rush: Wall Street firms trample the odds with their trading success in markets good and bad.

More from FORTUNE
Wall Street's next scandal

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FORTUNE 500
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A big question mark hangs over Wall Street: How is it that the top firms consistently beat the odds, earning spectacular returns on their own investments? Last year the five biggest U.S. investment banks - Morgan Stanley (Charts), Goldman Sachs (Charts), Merrill Lynch (Charts), Lehman Brothers (Charts) and Bear Stearns (Charts) - generated $61 billion from proprietary trading, about half their total revenue and a 54 percent increase over 2005.

Those returns have raised eyebrows for years. "Even the greatest investors lose money at some point, but the Wall Street firms never seem to lose," marvels Tiger Williams, chief of Williams Trading, a firm that attributes its success to keeping its hedge fund clients' trades strictly confidential.

SEC vs. hedge funds: Anger management
Some Wall Street insiders are pretty sure they know the secret. "Privileged information is the real currency that runs Wall Street," says Doug Atkin, the former CEO of Instinet who now runs the research boutique Majestic Research. "With what the traders at the big firms know, my 11-year-old son could make tons of money."

Here's a hypothetical example, gleaned from former Wall Street traders as well as outsiders who worked closely with them, of how some people think the Street exploits information. Say a fund company, call it Big Dog, wants to buy a million shares of Intel. A Big Dog trader calls a broker at a Wall Street firm - call it Megabux. The broker enters the order into the Megabux trading system. A dozen Megabux "sales traders" get the info on their computer screens. Their job is to find sellers for the shares. But first they call their top hedge fund clients, giving them the chance to buy some Intel before Big Dog pushes up the price. To cover their tracks, the hedge funds don't buy the Intel shares through Megabux, but they reward their benefactor with a lot of other big trades and by paying higher commissions than the mutual funds do.

That may not be the only way Megabux makes money on its knowledge of clients' trading activity. The broker who takes the order can pass the info on to Megabux's proprietary trading desk. The proprietary traders don't load up on Intel before Big Dog does - that would be illegal.

But let's say they know that when Big Dog is interested in a stock, it usually ends up buying several million shares, and thus will soon purchase more. Megabux buys shares of Intel (or of a tech index fund that holds Intel, or even of other stocks in the sector) after the first order; when Big Dog returns for more, pushing up the price again, Megabux makes a quick profit. The practice is hard to trace and may or may not be illegal. But it still hurts investors in Big Dog's funds by forcing Big Dog to pay prices that are inflated by the leaks. (The brokers have said repeatedly that they have safeguards in place to make sure such activity doesn't occur.)

Why would mutual funds put up with such abuse? "They need access to Wall Street's research and clearing services and to IPO allocations," says Atkin, so they have to keep trading with the big brokers.

Even if mutual funds were to do all their trading on electronic systems like Liquidnet that promise anonymity, Wall Street has another potential source of intelligence - the hedge funds themselves. Some big banks have "prime brokerage" operations that clear and settle trades for hedge funds. The prime brokers see what hedge funds buy and sell every day, though they insist that they do not share that data with their proprietary traders.

As part of its investigation, the SEC also demanded the names of the firms' prime-brokerage clients. So we may soon learn more about whether those sumptuous profits are a result of rare genius - or of an unfair edge.

_______________________

SEC slammed over hedge fund 'wealth' test
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By clearthinker on 2/19/2007 9:12 AM
The same SEC that conducted the Mack/Aguirre investigation?

Sorry if I don't get too excited
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Sean on 2/19/2007 9:19 AM
Clearthinker , I am talking more about the coverage that the actual "Investigation" by the SEC. Forbes is huge coverage for our cause!!!
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Oh Really on 2/19/2007 9:27 AM
An interesting article on HF's. Looks like they are being proactive.

http://www.investmentnews.com/apps/pbcs.dll/article?AID=/20070219/FREE/70216044/1024/COMPLIANCE

“The goal is to get out ahead of regulatory issues and help the regulators understand what it is we do,” said Robert Aaron, chairman of the Managed Funds Association, a Washington-based trade group that represents hedge funds.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By SteveM on 2/19/2007 10:23 AM
So the exact issue that Aguirre claimed happened with John Mack at Pequot Capital, that the SEC investigated and concluded that there was no issue, that Grassley and Specter claimed was either gross negligence or a cover-up...

is now a problem? Let's study it for another 2 years...

http://www.washingtonpost.com/wp-dyn/content/article/2007/02/01/AR2007020101464.html

"The investigation began in 2005 to determine whether Pequot received a tip in 2001 about an upcoming $5.3 billion merger between General Electric Capital and Heller Financial. Aguirre pointed to Mack as the likely person who had tipped Pequot to the merger, potentially enabling the hedge fund to make millions of dollars by buying and selling shares ahead of the announcement."

Watch for some quick rule making by the SEC that declares this kind of inside trading to be legal.

John Mack should be in jail, in a cell next to Christopher Cox and most of the Wall Street elite!
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Rangercapt on 2/19/2007 1:13 PM
I had to stop by and check up on the sanity check. Seems like nothing has been accomplished in years of bringing this stuff to the for-front. I have been saying all along this is not going to get fixed till it breaks down. The folks that control the markets are making way to much money to give it up and until they collapse the system nothing will change. The only way to survive is to follow thier lead and get out the way when they decided to destroy something. Nobody is going to stop them from destroying any company at any time. It is about money and thier ability to get it from your pocket to thier pocket period.

The SEC is not the organization to investigate the crime. They seem to be part of the crime. Until some other law enforcement agency comes in a cleans house the markets will be a cess pool of insider theft, illegal short selling, pipe deals, corporate option back dating, whatever these guys can think of to game the system for thier personal benefit. Greed runs the show. If somebody like the Secret Service, the FBI, or even a state law enforcement agence comes in and take over the mess will get cleaned up. Until then, forget about it! Make money trading with them not against them. Short everything on the SHO list. Learn to short ETF's, they were created to allow for hedge funds to short so they can use the money to manipulate the stocks they want o trade.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By RangerCapt on 2/19/2007 1:40 PM
This was posted on the PWAV Yahoo Message board. It is what needs to be done to all the funds out there. File charges with the FBI or turn them in if you suspect fraud and let a real Law Enforcement agency investigate it. I have stated this over and over again. As a retired police officer I cannot for the life of me figure out why all you folks spend so much time messing around with the civil court process. File criminal charges or report crimes to the FBI and let them use the power of the office to find the documents needed to support a civil case!
Bogus audit case triggers swoop by regulators
By Jeremy Grant in Washington

Updated: 3:12 a.m. ET Jan 25, 2007
US regulators on Wednesday swooped on a US citizen and a hedge fund he operated after discovering that an audit of the fund's accounts claimed to have been done by accountants Grant Thornton had been completely fabricated.

The case raises questions about the extent to which hedge funds and other entities may be fraudulently passing off their financial statements as having been audited.

Regulators stumbled upon the case as part of an emergency inspection triggered by a tip-off from a would-be investor in the fund, Renaissance Asset Management, based in Georgia.

According to a lawsuit filed by the Commodity Futures Trading Commission (CFTC), the fund's chief operating officer, Anthony Ramunno, presented inspectors from the National Futures Association (NFA) with copies of what he claimed were audited annual reports for 2004 and 2005.

But Mr Ramunno contacted the Federal Bureau of Investigations shortly afterwards to admit that he had "committed fraud", a CFTC complaint said. The audit had never been carried out by Grant Thornton, or any other accounting firm.

Inspectors at the NFA, the self-regulatory body for the futures industry, also discovered a claim in financial statements that the fund had amassed $34m from would-be investors was also false. The fund's bank accounts held only $4m.

Larry Dykeman, NFA spokesman, said the NFA was prompted to carry out an emergency audit after receiving a phone call from one of its members.

"The member said he'd seen some rates of return on a website for a commodity pool operated by Renaissance. The fund had filed papers with us saying that they had not been trading and had not solicited customers. We found out that it had in fact traded, which is against the rules," he said.

The NFA called Grant Thornton to check that it had done the work but, according to Mr Dykeman: "They said: 'We don't even know what you are talking about'."

Renaissance appeared to have hoped to avoid detection by registering as a commodity pool operator with the NFA. It then filed "exemption notices" informing the NFA that it was not operating and taking funds – when it actually was.

The NFA on Wednesday also suspended another Atlanta-based hedge fund.

Cornerstone Capital Management and its New York-based principal Joseph Profit were prohibited from soliciting for funds without NFA approval after Mr Profit admitted he had accepted funds in his Icon Fund since 2005, contradicting earlier claims he had no funds under management.


Bogus audit case triggers swoop by regulators
By Jeremy Grant in Washington

Updated: 3:12 a.m. ET Jan 25, 2007
US regulators on Wednesday swooped on a US citizen and a hedge fund he operated after discovering that an audit of the fund's accounts claimed to have been done by accountants Grant Thornton had been completely fabricated.

The case raises questions about the extent to which hedge funds and other entities may be fraudulently passing off their financial statements as having been audited.

Regulators stumbled upon the case as part of an emergency inspection triggered by a tip-off from a would-be investor in the fund, Renaissance Asset Management, based in Georgia.

According to a lawsuit filed by the Commodity Futures Trading Commission (CFTC), the fund's chief operating officer, Anthony Ramunno, presented inspectors from the National Futures Association (NFA) with copies of what he claimed were audited annual reports for 2004 and 2005.

But Mr Ramunno contacted the Federal Bureau of Investigations shortly afterwards to admit that he had "committed fraud", a CFTC complaint said. The audit had never been carried out by Grant Thornton, or any other accounting firm.

Inspectors at the NFA, the self-regulatory body for the futures industry, also discovered a claim in financial statements that the fund had amassed $34m from would-be investors was also false. The fund's bank accounts held only $4m.

Larry Dykeman, NFA spokesman, said the NFA was prompted to carry out an emergency audit after receiving a phone call from one of its members.

"The member said he'd seen some rates of return on a website for a commodity pool operated by Renaissance. The fund had filed papers with us saying that they had not been trading and had not solicited customers. We found out that it had in fact traded, which is against the rules," he said.

The NFA called Grant Thornton to check that it had done the work but, according to Mr Dykeman: "They said: 'We don't even know what you are talking about'."

Renaissance appeared to have hoped to avoid detection by registering as a commodity pool operator with the NFA. It then filed "exemption notices" informing the NFA that it was not operating and taking funds – when it actually was.

The NFA on Wednesday also suspended another Atlanta-based hedge fund.

Cornerstone Capital Management and its New York-based principal Joseph Profit were prohibited from soliciting for funds without NFA approval after Mr Profit admitted he had accepted funds in his Icon Fund since 2005, contradicting earlier claims he had no funds under management.



Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By bbhindyou on 2/21/2007 3:23 PM
No news never seems like a good thing to me, I get suspicious when things are too quiet.


Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By NWI on 2/16/2007 12:56 AM
It's not the new world order.

It's the "New World Internet"

NWO is a handful of wrinkly male billionaires.

NWI is the rest of us, building a new world where the majority have a great life at the expense of last year's elite.

Wrinkly, scrawny, billionaires behind the curtain controlling their empires through offshore shell corporations will wake up, one day and like deer surprised by oncoming headlights, will realize the end has come upon them.

The majority have all the wealth, all the brains and the majority WILL dictate the rules.

We were fooled by cheater controlled media and stock markets controlled by wrinkly, cheating old billionaires, but the New World Internet has woken us up.

We're ready to start anew with a clean system with no billionaire parasites. As the parasites die off, we will reinvent the monetary system.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By zig zag wrongdoing on 2/16/2007 5:34 AM
Federal authorities confirmed Thursday that Nevada Gov. Jim Gibbons is being investigated for failing to properly report gifts or payments from a software company that was awarded secret military contracts when he was in Congress.
Trepp, a former chief trader for convicted junk-bond dealer Michael Milken, also has denied any wrongdoing.

http://www.lasvegassun.com/sunbin/stories/nevada/2007/
feb/15/021510250.html
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By JLB on 2/16/2007 6:26 AM
Bobo, it seems that the SEC has stolen one of the great lines from Groucho Marx. There's Groucho, caught red handed in the arms of another woman by his girlfriend and he looks her in the face and says, "who are you gonna believe, me or your lying eyes?"
Let the demonstrations begin. I say we organize and picket in front of the homes of every crooked official we know of. Let them know that we know what they've done. It has to be made personal to get their attention. Letters and emails can be tossed and overlooked, but someone camping outside your home chanting what a criminal you are can give one pause.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Zimmer on 2/16/2007 6:35 AM
Slightly off topic .. but related to the market abuses.

How Borrowed Shares Swing Company Votes

http://webreprints.djreprints.com/1640290850403.html
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By SteveM on 2/16/2007 6:45 AM
The biggest problem in America is Education. We are taught what the "power that be" want us to know and fed the news that they want us to see.

I think that the markets are finished. When the market crashes and people lose everything, they will not be able to afford the only real source of news and education... the Internet.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By old duffer on 2/16/2007 7:12 AM
I said it before, now I SAY IT AGAIN, GET OUT OF THE U.S. MARKETS!
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By what up? on 2/16/2007 7:48 AM
NEW YORK: Ranbaxy Laboratories, the Indian pharmaceutical company, said U.S. officials had raided its American corporate offices in Princeton, New Jersey.
Raghu Kochar, head of corporate communications for the company in India, confirmed on Friday that U.S. officials had searched Ranbaxy's American facilities and promised that the company would cooperate fully.
But Kochar declined to say whether Ranbaxy was aware of the reason for the search or any investigation that may have prompted it, referring to a company statement Thursday that the search had come "as a surprise" and that Ranbaxy was not aware of any wrongdoing.

http://www.iht.com/articles/2007/02/16/business/ranbaxy.php
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By bbhindyou on 2/16/2007 8:03 AM
Steve M,
It has gone too far for the" lack of money to afford the internet" to be effective.
A more drastic method of keeping US from coming after THEM must be in the works.
I'm thinking along the lines of world war three.
This time it will be everybody else against the united states.
The rub is the world will have a right to be pissed because our leaders have seized control and are now in the process of robbing the united states AND the rest of the world.
No one here will be allowed to know the truth of why the world wants our system to pay up and step down.
The criminals, who it has been clearly shown control the media mainstream, WILL find a way to shut down the information net it can't control.
NO ONE MUST KNOW THE TRUTH .
Or it all falls apart.
HMMMMM.....
Massive "terrorist" E.M. pulse knocks out all electronics and leads to a world war none of US will ever know why we are fighting?
Sounds like a plan.
Why do I think our leaders/terrorists won't hesitate to use it?
TICK TOC TICK TOC....
Why am I experiencing a fight or flight impulse?
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By cluster F___s done? on 2/16/2007 8:43 AM
The ex-general counsel at Monster Worldwide Inc. pleaded guilty on Thursday to criminal charges related to stock options backdating, becoming the latest former U.S. executive ensnared in an options-related case.
Myron Olesnyckyj -- who left the company, parent of the leading Internet jobs listing service, in November following its internal probe into stock options award practices -- pleaded guilty to conspiracy and securities fraud in Manhattan federal court.




http://www.washingtonpost.com/wp-dyn/content/article

/2007/02/15/AR2007021500568.html
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By outraged on 2/16/2007 8:58 AM
>...I wish I could tell you that this isn't exactly what it looks like - that the media, Wall Street, the regulators, and much of government is involved in a massive abuse of the citizenry they are hoping we are all too stupid or preoccupied to recognize as such.
But I can't. It is. We as a nation lose. And the direction from here is down, unless this ship gets turned around. Which apparently most of the stewards are reluctant or incapable of doing. ..<

so our HOMELAND SECURITY is neglected! as citizens in a capitalist market nation,
our security depends to large extent on the savings of our labor being protected...
especially since most of our "leaders" & media constantly tell us not to depend on our govt helping us. they're too busy "helping" iraq, afganistan, now north korea,
maybe iran next, etc.. "leader/decider" bush tells us the most important mission of the "chiif executive" is to protect the homeland. and, out of the other side of his mouth, he wants to turn social security payments into "free market" investments for a better return. hah ha ha ha.(for who???)
he has gutted support for guvt regulatory oversite& compliance at a time that the market keeps issuing more & more complex opaque investment transactions.
this is neglect of the people's security... bordering on gross negligence.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By SteveM on 2/16/2007 9:16 AM
Where are all of our "leaders" going to live when the average Joe figures this out? (and believe me, they will figure it out!!!)
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By bbhindyou on 2/16/2007 9:33 AM
Steve,
The leaders will live in the fortresses while us serf's and slave's get left out for the wolves and barbarians to feast on.
It's going to be just like old times again.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By virakiller on 2/16/2007 10:08 AM
hey bbhind,

I think it is other way around. the slaves and serfs[us] will tear down the fortress
in which they HIDE and make them pay back what they have STOLEN from our nation
As Steve says the masses will soon find out and when they do we will expose
the "true terrorists" to our country

America is awakening thanks to this site Bud,Mark Faulk, CFRN, Dave ,Rod and
countless other true Americans that see what these "select fews" are doing
to our country.

they can control media
they can run and hide
they can abuse our democratic values
BUT
they cannot hide forever
we will over POWER them with our numbers

We the people will get to this promised land
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By bbhindyou on 2/16/2007 11:24 AM
Virakiller,
I only wish it were so.
The masses have revolted in the past but they still end up being flim flammed into giving up all they fought for in the end.
History is the future.
The more we show how close on their heels we are the more desperate the response will be.
I fear the information age will lead us back to the dark ages.
The loss of control will scare the powerful into doing something terrible to put us back where they want us.
Powerless and begging for our lives.
There is NOTHING they won't do to stop the masses from taking power.
NOTHING.
Even if it ends up damaging them as well.
A fight to the death.
We have the numbers but they have the money and weapons.
I hope the promised land isn't six feet down.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By peeking thru the curtains on 2/16/2007 12:31 PM
WSJ today 2/16, p.C1...
i'm rather proud of the journal today...their news section. coverage of ETFs and securities lending-how prevalent it is, how much money is made by all involved-funds, prime brokers, invesotrs. best part is on p.C2. show chart how securities lending works-very simple but shows step where hedge funds sell the borrowed shared hoping to rplace them later w. cheaper ones (well, we know that wont happen) but the downhill graph of hypothetical share price should be more than a hint. ..saying fund shareholders will have their holdings inside fund decline with all this stock lending. more & more coverage on the many vehicles that "lend" shares.
i think average investor was unaware of this.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Patchie on 2/16/2007 12:35 PM
One of the amusing things about all this is that the financial press continues to show their ignorance to the markets and the laws.

A "no-action" letter is not an admission of guilt or innocence but really just an admission that the SEC no longer wants to spend it's time investigating this matter.

As we have seen several times over, those with SEC enforcement actions can be sued at a later date but that does not always result in a loss. Using an SEC action where the defendant settled "without admitting or denying guilt" means just that no legal claim of guilt.

While Gradient and those morons at the press claim that this exhonerates Gradient it means something far less. This no-action simply means that the SEC is willing to spend years going after some aspects of fraud but decided in this case to simply stop after a year and dismiss it (ala John Mack).

To put it another way; how many times has the SEC initiated an investigation, which prompted a Class action filing and yet while the SEC closed down the investigation without a finding the Class action case continued on. The courts recognize the limitations to the SEC investigation which is why we have real courts of law and not just limited to the SEC's monkey court or bribes and political ties.

Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By yoda on 2/16/2007 12:48 PM
check out the SEC PR movie on their front page. pretty sick

http://www.sec.gov/news/speech/secawardsource384k_stream.wmv
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By cynabear on 2/16/2007 1:24 PM
can anyone get Keith Oberman to declare the SEC "The Worst person in the World " ?????
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By Tony on 2/16/2007 2:05 PM
The IRS put Al Capone in jail for tax evasion. Can we go after the short sellers and their media puppets by following the money trail and looking to see who is depositing cash or lving beyond their means on a measely Motley Fool or newspaper salary? The SEC needs a total overhall. It should be renamed - The Securities Enforcement Agency (SEA). The "Exchange Commission" is doing a great job of letting crooks exchange inside information and counterfeit shares (naked shorts). We need enforcement. Pegasus Wireless (PGSW) has voluntarily delisted from the NASDAQ and is in the process of moving their headquarters from Fremont, CA to the Bahamas. They will probably list on the London Stock Exchange if not the Bahamas Exchange. Another small American company attacked by short sellers and forced to leave the American exchanges due to lack of enforcement by the NASD, SEC, GAO and DOJ. - Tony
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By mhelburn on 2/16/2007 3:00 PM
I tried to put the blog on Digg and ended being able to just put the www.sanitycheck.com on it to find that it had previously been included 188 days before.

I wanted to direct readership to this specific blog.

Bob, "shagfest" ???? Too funny.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By golfwalt on 2/16/2007 3:36 PM
I also tried to Digg it, but no luck. I've joined Digg, but can't seem to add a story as I keep getting looped back to the logon page. Will try again later.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By InTheKnow on 2/16/2007 5:04 PM
Bobo has something huge. Watch for the blog.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By oldfeller on 2/17/2007 2:54 AM
When was the last time anyone publicly complimented the SEC for what a good job they were doing? Someone should take a poll. We the people have far more faith in Martha Stewart`s integrity than we do in Mr. Cox`s at this point. Everyone with even a slight understanding of how the market works knows there is something very wrong going on and we are waiting to see what will be done.
Re: The Media Continue the SEC/Gradient Shagfest, Steamrolling Over Uncomfortable Obvious Conflicts By BOBO??????HAVEUSEENTHIS on 2/17/2007 6:01 AM


MUST READ ON HOW US STOCKMARKET IS NOW RIGGED BY TOP FIRMS AND SEC TO NOT GO DOWN... ANY INPUT WOULD BE APPRECIATED

February 03, 2007

The Plunge Protection Team Risk Indicator - A Rally Finder
by Robert McHugh


The rally since July 2006 has been nothing short of spectacular. A lot of money can be made on rallies, and it behooves us to be able to identify them, especially the large ones, as early as possible. One tool we have in our arsenal is the S&P 500/DJIA Purchasing Power Indicator. Back on July 19th, 2006, this indicator generated a "buy" signal with the Dow Industrials at 11,011. This indicator has relentlessly remained on a "buy" signal throughout the subsequent seven months, and remains so today. This indicator has ignored fake-outs, feigns, and fears from July 2006 through today, not generating a "sell" signal once. It caught a 1,671 point, 15.1 percent rally in the Dow Industrials.

There is another key technical indicator in our toolbox that has also done a pretty good job finding rallies. We call it the PPT Indicator, or the Plunge Protection Team Intervention Risk Indicator, the subject of this article.



Application of the indicator is simple. When readings are above positive +20.00 percent, it means the risk of a short-covering rally is high, and there is good probability that the rally will see upside follow through. Interestingly, when readings fall below negative -16.00, there is also a good probability that a significant rally will follow. These levels are starting blocks for rallies. This indicator does not give "sell" signals, however we have noticed that if the reading rises to an extreme high, above positive +35.00ish, we have seen at least short-term declines. Also, when this reading has dropped to an extreme low, below negative -35.00ish, we also see short-term declines. Declines have occurred when readings are between negative -16.00 and positive +20.00, so there is some risk there, however, if you are looking for a place where a long position might make sense, this indicator has identified some pretty good entry points.

The chart shows this indicator over the past year and a half. Red arrows show when the reading reached positive +20.00, and a rally started in the Dow Industrials. Blue arrows identify when the reading fell below negative -16.00, and a rally started or resumed after a pause. This indicator can be used in conjunction with the S&P 500/DJIA Purchasing Power Indicator mentioned in the opening paragraph. The PPI tells the main trend, and the PPT Indicator shows especially high probability points when adding to long positions can be beneficial. No guarantees, however the probabilities here are interesting to say the least.

The origin of the Plunge Protection Team Intervention Risk Indicator:

For the past several years, we have seen repeated "out of the blue" short-covering rallies just about the time a decline seems to be gaining some momentum. Our suspicion has been that the "Working Group" established by law in 1988 to buy markets should declines get out of control, has become far more interventionist than was originally intended under the law. This group has since been dubbed the Plunge Protection Team. There are no minutes of meetings, no recorded phone conversations, no reports of activities, no announcements of intentions. It is a secret group including the Chairman of the Federal Reserve, the Secretary of the Treasury, the Head of the SEC, and their surrogates which include some of the large Wall Street firms. The original objective was to prevent disastrous market crashes. Lately, it seems, they buy markets when they decide markets need to be bought, including equity markets. Their main resource is the money the Fed prints. The money is injected into markets via the New York Fed's Repo desk, which once upon a time showed up in the M-3 numbers, warning intervention was nigh. But, in November 2005, the Fed announced with little comment and no palatable explanation that it would no longer report the M-3 number after March 2006. Without the useful resource of M-3, we needed to find other tools to monitor when the PPT is likely to intervene, prolonging a rally and killing shorts.

For the PPT to be effective in driving markets higher, the potential for a sustained turnaround rally depends upon a high volume of open short interest. By measuring this short interest by the level of CBOE put options, we can gauge when markets are ripe for PPT intervention. The way it works is, the PPT decides markets need intervention, a decline needs to be stopped, or the risks associated with political events that could be perceived by markets as highly negative and cause a decline, need to be prevented by a rally already in flight. To get that rally, the PPT's key component -- the Fed -- lends money to surrogates who will take that fresh electronically printed cash and buy markets through some large unknown buyer's account. That buying comes out of the blue at a time when short interest is high. The unexpected rally strikes blood, and fear overcomes those who were betting the market would drop. These shorts need to cover, need to buy the very stocks they had agreed to sell (without owning them) at today's prices in anticipation they could buy them in the future at much lower prices and pocket the difference. Seeing those stocks rally above their committed selling price, the shorts are forced to buy -- and buy they do. Thus, those most pessimistic about the equity market end up buying equities like mad, fueling the rally that the PPT started. Bingo, a huge turnaround rally is well underway, or a rally already underway is extended, and sidelines money from Hedge Funds, Mutual funds and individuals rushes to join in the buying madness for several days and weeks as the rally gathers a life of its own.

We've just witnessed such a rally from July 2006. The quality is suspect. Since the Dow Industrials bottomed on July 14th, at a closing low of 10,739.35, we have witnessed a 1,914.14 point rally into Friday, February 2nd's close of 12,653.49. However, the entire amount of that rally has occurred on simply 18 trading days of 80 point rallies or higher. Just 18 trading days out of 139 accounted for the entire rally since July 2006. That means that 121 of the 139 trading days since July 14th were a wash. If you look at those 18 trading days, only once was there a follow-through rally of more than 80 points the next day. These rallies were spaced apart by about 9 days on average. In other words, they occurred out of the blue, after almost two weeks of prices going nowhere. It was as if someone with the power, decided to push the market higher about once every two weeks. As a side note, isn't it interesting that on July 10th, 2006, four days before the current 2000 point rally started, Henry M. Paulson, former Chairman and Chief Executive of Goldman Sachs, began his tenure as U.S. Treasury Secretary. Isn't it interesting that Goldman Sachs just so happens to be a surrogate for the official Working Group, a.k.a. Plunge Protection Team? And isn't it interesting that Secretary Paulson is on record as saying that the Working Group is having regular meetings since he became Treasury Secretary?

Whenever we are about to enter a Bearish set up, with technical indicators warning in spades of a significant coming decline, be that due to political risks, cyclical risks, and/or market technical risks pointing down, we must presume the PPT is literally loaded for Bear, ready to buy markets with an avalanche of fresh money, so much so that they do not want anyone to know. Thus the risk of PPT intervention at some point during any upcoming decline is quite high. Question: How will we know when conditions are ripe for the Fed and its PPT buddies to intervene? Are Bears wise to not play this next decline, or any future decline for that matter? If so, traders who like to play both up trends and down trends are destined to lose half their moneymaking opportunities.

To deal with this new paradigm, we developed the Plunge Protection Team Risk Indicator. This indicator is based upon the premise that the most effective PPT intervention requires an extreme Bearish sentiment as measured by short interest. This indicator measures short interest from the level of CBOE put options outstanding. It simply compares a 10 day moving average of CBOE puts with a 30 day moving average of CBOE puts. Whenever the ratio of the 10 Day to the 30 Day rises above 1.20, we are at great risk of a short covering rally of some sort, probably PPT induced. In other words, whenever the 10 Day MA is more than 20 percent above the 30 Day MA, if you are holding short-term puts, or a short position of some other form, you may want to think about getting out with whatever profits or losses you have.

It's sad we have to anticipate this central planning intervention into what used to be free markets, but if we can be prepared, then we can still trade both the ups and the downs profitably. Unfortunately, we must now deal with the metamorphosing of capitalism into corporatist fascism -- which simply means, what is good for corporations is right, at the expense of our nation's founding principles and individual rights. It means markets can never be allowed to drop for fear Wall Street firms' profits will shrink. It isn't about investment portfolio valuations, for it is proven that dips aid the safest known investment strategy individuals can use, long-term Dollar Cost Averaging. Dips can be good. They provide investments "on sale." It seems it's about political ratings, and television ratings, and Wall Street commissions. Rising, overvalued markets, breed corporate takeovers and public stock offerings, with resultant huge investment banking fees to Wall Street Banking houses. This is the game that is going on in today's world of Artificial Economics, where hyper-liquidity is king. However, with our toolbox of technical indicators, we can be prepared to play by their rules, and still make money as individual investors and traders. If the market is going up, we want to know, and we can know, and we can ride the wave.





Robert D. McHugh, Jr. Ph.D.
Main Line Investors, Inc.


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