Subject: Stefan Simon

Subject of Interest

Stefan Simon is Chief Administrative Officer (CAO) at Deutsche Bank and is responsibility for regulatory and legal affairs. He has been a member of Deutsche Bank’s Supervisory Board since August 2016 and has been Chairman of its Integrity Committee. Simon is a lawyer and tax consultant and a former partner at Flick Gocke Schaumburg. He has taught at the University of Cologne since 2008.

 

Biography

Deutsche Bank

 

Subject: Matt Simon

Subject of Interest

Matt Simon joined Citadel in 2004, He has served in a number of roles including Portfolio Manager for the Global Equities Energy and Industrials team, Capital Goods Analyst on the Global Equities Industrials team and Analyst on Citadel’s Event Driven team. He served as Citadel’s Regional Head of Equities in Chicago from 2013-2016. Prior to joining Citadel, Mr. Simon was an Associate at Madison Dearborn Partners on their communications investment team and an Analyst at Salomon Smith Barney. Simon received a bachelor’s degree in Accounting with high honors from Lehigh University and a Master of Business Administration from Northwestern University’s Kellogg School of Management.

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Article: In Pursuit of the Naked Short by Alexis Stokes

Article - Academic

In Pursuit of the Naked Short

Alexis Stokes, Texas State University

Journal of Law and Business 5/1 (Spring 2009)

This article explores the origins of naked short-selling litigation; considers
the failures of significant naked short-selling lawsuits in federal court;
surveys the obstacles erected collectively by constitutional standing requirements, the Federal Rules of Civil Procedure, the Private Securities Litigation Reform Act, brokerage firms, death spiral financiers, and the Depository Trust and Clearing Corporation; examines the efficacy of Regulation SHO, SEC rule 10b-21, and new FINRA rules; discusses recent state legislation and state court litigation; and identifies non-litigation options to curb naked short-selling. Ultimately, this article seeks to answer the question: If manipulative naked short-selling is more than a mythological scapegoat for
small cap failure, what remedies are, or should be, available?

PDF (62 Pages): Article In Pursuit of the Naked Short