Tag: Wilson-Davis

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Tip: Market Makers (aka Naked Short Sellers) To Watch Out For

Tip

Most aggressive in bold.

  • Alpine Securities Corporation
  • Alternative Execution Group
  • Ascendiant Capital Markets LLC
  • Biltmore International Corporation
  • BMA Securities
  • BTIG LLC
  • Buckman, Buckman & Reid, Inc.
  • CRT Capital Group LLC
  • D. A. Davidson & Co.
  • Delaney Equity Group LLC
  • Dinosaur Financial Group LLC
  • Fig Partners LLC
  • Glendale Securities Inc.
  • GMP Securities LLC
  • Intl Fcstone Financial Inc.
  • Keefe, Bruyette & Woods, Inc.
  • Maxim Group LLC
  • Monroe Financial Partners Inc.
  • Puma Capital LLC
  • Rafferty Capital Markets LLC
  • Raymond James & Associates Inc.
  • R. F. Lafferty & Co. Inc.
  • Spartan Securities Group LLC
  • Stifel, Nicolaus & Company, Incorporated
  • Stockcross Financial Services, Inc.
  • The Vertical Trading Group LLC
  • Tradition Asiel Securities Inc.
  • T.R. Winston & Company LLC
  • Vandham Securities Corporation
  • Vfinance Investments, Inc.
  • Wall Street Access
  • Wedbush Securities Inc.
  • Wilson-Davis & Co. Inc.
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Tip: SEC Tokenism — Wilson-Davic & Co. Mock Hit . . .

Tip

SEC Charges Wilson-Davis & Co., Inc. with Failing to Report Suspicious Transactions

Everyone on the street knew this market maker was a complete front for the naked shorts, Goldman Sachs and the other big boys are worse.  It’s like they rent their market-maker driving license for fat fees to the hedge funds, no worries how many investors get run over and killed by naked short sellers.

Need to fence the small caps and end market-maker exemptions.  Need to make all trades transparent “by name” of the buyer or seller.  Need to see the tickets every day, no exceptions.  And of course need to hang anyone who fails to settle.  DTCC is the enabler — dirty, dirty, dirty.

Posted on

Fined: Wilson-Davis & Co., Inc. Fined by FINRA

Fined

Wilson-Davis & Co., Inc. Fined by FINRA

The firm, Barkley and Snow appealed a National Adjudicatory Counsel (NAC) decision to the Securities and Exchange Commission (SEC). The NAC had affirmed the findings and modified the sanctions imposed by the Office of Hearing Officers (OHO). The firm was fined $1,100,000, ordered to pay disgorgement in the amount of $51,624, plus prejudgment interest and required to retain an independent consultant to recommend changes to its WSPs.

Read full report.

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