All short selling articles

  • SEChq
    News Brief

    SEC charges Sabby Management over short sales


    New Jersey-based investment adviser Sabby Management and its managing partner were charged by the Securities and Exchange Commission with engaging in a fraudulent short selling scheme involving the stocks of nearly a dozen public companies.

  • SEC office
    News Brief

    SEC cites CCO error in HITE Hedge short selling case


    Investment advisory firm HITE Hedge Asset Management and its private fund clients agreed to pay more than $220,000 to settle allegations the firm violated a Securities and Exchange Commission rule concerning short selling.

  • Stock downward trend

    DOJ probe into shadowy underworld of short selling ‘long overdue’


    A Department of Justice criminal investigation into illegal short selling is just the latest indication these schemes demand greater scrutiny that chief compliance officers and in-house counsel can no longer afford to ignore.

  • GameStop stocks

    Compliance lessons from GameStop market insanity


    Wall Street has been consumed this week watching a real-time battle unfold between retail investors and hedge funds over formerly moribund stocks like GameStop, AMC Entertainment, and BlackBerry. The compliance lessons lie in the levels of risk.

  • Lefort_opinion

    A risk management perspective on GameStop stock surge


    Actions taken by Robinhood and TD Ameritrade amid the crazy GameStop stock surge can be understood from the perspective of risk management, but who’s watching out for the retail investors? That’s where the real risks lie.