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Part 9 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
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Part 8 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
by RoryKearney | July 31, 2008 at 05:05 pm | 299 views | add comment
http://www.nowpublic.com/world/part-8-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 1 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up
by RoryKearney | July 11, 2008 at 07:13 am | 4139 views | 33 comments
http://www.nowpublic.com/world/naked-shorts-75-000-cracking-wall-street-cover
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I will try to catch you up on the past few days.
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7) Unsettled Trades & Systemic Risk
Excerpt
August 3rd, 2008 by Patrick Byrne
Greetings, and peace. As we Irish say, “I’m sorry for your troubles.”
In today’s Salt Lake Tribune there is a story that is 100% correct: two years ago an elder statesman of the hedge fund industry sat me down to tell me that I had become the most hated man in living memory in New York, that you folks despise me utterly, and so on. All true, I’m sure. So it goes.
However, from examining the logs I also know that thousands of people from major Wall Street institutions have visited this site and are passing these pieces around. I was planning on writing an open message to you in the 2007 holiday season, or the 2008, but while I have but little influence over this course of events, I have even less over their pace. Now it is August, but the time to write has come.
I have said harsh things about Wall Street. Harsh words have been said about me as well. Let’s get past that for a moment. Instead, I have a story to share before we return to our battle.
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http://www.thestandard.com/news/2008/08/04/overstock-com-ceo-im-not-vindictive
Excerpt
Overstock.com CEO: "I'm not vindictive"
Ian Lamont08.04.2008
Patrick M. Byrne, the colorful CEO of Overstock.com, is in the midst of a Wall Street "Crusade" targeting practices and policies that he claims have undermined the U.S. financial system. In an essay published yesterday entitled "A Message of Peace to Wall Street," he describes a potential financial crisis involving a complex mix of unsettled trades, Contracts For Difference, and the Continuous Net Settlement system.
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Patrick put a few comments on Ian's blog (above) and wrote this on the OSTK IV board
http://www.investorvillage.com/smbd.asp?mb=3532&mn=22663&pt=msg&mid=5352690
Re: Triturating, pulverizing and gnashing yuk-yuks
I am sure the yuck-yucks are going to keep showing up here. but it is itneresting that Ian has asked for honest rebuttal.
I suggest that people tune in to the messages posted at the end of this piece, and when the choagies go there to fog up the discourse, some of you go in and tell the truth. If Ian is truly interested at last, as he seems to be, this might be an opportunity to win over one honest mind.
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The Easter Bunny's Latest Blog on the pathetic Depository Trust & Clearing Corporation which is entrusted with settling the trades but is instead complicit in this fraud.
excerpts
http://www.thesanitycheck.com/BobsSanityCheckBlog/tabid/56/EntryID/705/Default.aspx
The DTCC.
To hear them tell it, they are powerless to deal with NSS, acting more as a vessel through which stock flows. They ignore that they are an SRO, chartered with regulating the business conduct of their owner/members. They pretend that they don't become the intermediary, and thus the contra-party to the trade to both buyer and seller, and thus in full control of buying in failed trades (if they wanted). They pass self-serving rules that declare they can't force a failing member to buy in the fail, even though they are chartered with ensuring timely clearance and settlement. And for years they have been claiming that NSS is basically a non-issue, while their press geeks and counsel employ mind-numbing doubletalk.
Read the explanation of what the press release that follows describes. It is unbelievable, and yet typifies the DTCC's behavior. It is a huge part of the problem, and yet it continues to pretend to be an innocent bystander. That wouldn't have worked in any court in the land, and it is astounding that it is being attempted yet again, even as the SEC apparently wakes up to naked short selling as the systemic risk to the market we have for years claimed it to be.
I would suggest that if the SEC wants to understand what is going wrong in the US market, they have but to read a press release like this one. This is frigging nuts. Really. And yet, no SEC or Congressional action. Question is, why? Why can the DTCC basically engage in securities fraud, or at least actively aid and abet it, and yet no regulator or AG takes action? How broken does this have to be before our protectors do their frigging job?
==================
A LESSON FOR HEAVILY NAKED SHORT SOLD CORPORATIONS
A SYNOPSIS OF THE BELOW ARTICLE
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Meet Overstock CEO Patrick Byrne's Father (yuk yuk)
| Jack Byrne legendary in insurance circles |
| The Associated Press Salt Lake Tribune |
| Article Last Updated:08/04/2008 02:01:53 PM MDT |
| excerpts |
| Jack Byrne's magic business touch has been all about the basics paired with high drama. Once hailed as the Babe Ruth of insurance, he was the man who long ago saved Geico, the automobile insurer that later became a household name with the help of clever advertising series. Now Byrne, a longtime partner and pal of Warren Buffett, is fully retired, with time to ponder the trouble with the economy in general and one company in particular. At 76, Byrne sees nothing but trouble from the U.S. credit crisis. He also worries about the trade deficit and the dollar's falling value, together with rising inflation - all signs, he believes, of America's diminishing power in the world economy. "I'm an old man. Old men get grouchy and depressed, but I think the U.S. credit markets are going to get bludgeoned," Byrne said of the worst of the troubles. "We've only seen half of it." He also offered a brutally honest assessment of the nine years of no profits at Internet retailer Overstock.com, a company run by his youngest and, he says, "Don Quixote-like" son. "It really went into a ditch," Byrne said in an interview from Etna, N.H., where he lives part of the year. He also keeps a home in a Salt Lake City suburb. The Roman Catholic family was drawn to Mormon Utah during the 1990s because of the skiing and his sons' business dealings here. Byrne was chairman of Salt Lake City-based Overstock for three different periods. At times he appeared to part with his son Patrick, who "wanted to grow fast. I said, 'Let's get the homework done right."' The company proceeded to blunder an information-technology overhaul. At first, Jack Byrne refused to put up any money for Overstock. He advised his son they'd come out better by just piling the cash needed to start the business into a large bonfire. "We'll dance," he suggested. In the end Jack Byrne invested tens of millions. "In fact, it wasn't a terrible idea," he said. Jack Byrne said that after much initial skepticism he believed his son was "right all along" about another thing: a highly public battle and lawsuits with short-sellers and analysts. |
http://www.sltrib.com/business/ci_10094559
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http://www.investorvillage.com/smbd.asp?mb=3532&mn=22632&pt=msg&mid=5349298
TommyToyz weighs in.
Re: How can the DTCC do this?
This is the beginning of the unraveling. The "fails to receive" securities are what is causing this and what rights they confer to investors - their nature and true value.
But guess what? The SEC doesn't even keep track of FTRs!
If the DTC has clean hands, my guess is that the DTC will back off and say that they have distributed all the shares they have and that if anyone does not get their dividend they should complain to their broker. If the broker had FTRs instead of the real security, then the broker is at least part to blame.
However, if the DTC was lying to the brokers and telling the brokers that they had more the real securities than they actually did, then the fault is 100% with the DTC. I am very suspicious in how the DTC basically threw itself in front of the brokers. What for? If they had just quoted their own rules, that it is the brokers who have the obligation to obtain the contracted for securities, then the DTC would have been off the hook as this has worked for them in the past.
Now suddenly they get directly involved with investors and issuers, rather than leaving that to the brokers? It looks fishy and could be they're behaving this way because the DTC actually did tell brokers they had more securities on deposit than the issuer has outstanding.
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I have joined this group and I implore everybody to join. Tommy has been waging the battle against Naked Short selling for as long as I can remember.
IMO your current broker is likely trying to steal your money from you by failing to deliver your shares, and manipulating the stock price to do so.
Help Stop Delivery Faliures of Securities and Market Manipulation
http://custodiansecurities.com/
A broker that holds custody of all securities and fights FTD and FTRs by breaking trades will be a help in protecting securities marked for manipulation, especially if the majority of investors in a company deposit their securities there. Manipulation would be far more difficult and expensive if the securities are held in a tight hand.
In the past there was always a question that margin accounts, margined securities and customer account agreements always made securities prone to being lent out - not anymore if enough people get togetther and make this happen.
The greater problem is that prime brokers are lending out even fully paid securities. How else are FTDs possible in NOVS, which is an OTC security and which by definition is a fully paid security by the FED? Only by ignoring the custody rules can this be possible, because some brokers are sitting on FTRs - which is not a NOVS security.
I assume that many prime brokers and others are willing to sit on and hold FTRs because if they have outstanding FTDs themselves, they will get a "Retransmittal Notice". Something they would rather not get, so they all sit silently and pile up.
That Would
Retain direct custody of all securities in its own custody
account at a securities depository.
Immediately initiates buy-ins on failed purchase transactions
Debit securities from customer accounts that are not
received by the broker by T+3
Credits back the purchase funds to the customer on failed
trades at the end of T+3
Claim damages to the responsible broker causing the fail
Credit only securities to customer accounts that the broker
actually has in its custody after T+3 and not mere "securities
entitlements"
If permitted, the broker's aggregate securities positions in
the depository would be publish as well as the FTRs it
receives. The name of the responsible parties who failed to
deliver, as named by the NSCC, would also be published, if
permitted.
And would not
Lend out any securities, not even margined ones
Self Clear trades
Accept FTRs (fails to receive) "securities" or failed trades
Deal in securities for the broker's own account
Sit on FTRs or hold anything but the contracted for
securities for customers
We will probably not allow customers to lend out their
securities, nor will we. Though customers can still short sell,
if securities can be borrowed from outside the company.
Show your interest by signing up and please spread the word.
http://custodiansecurities.com/
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EuroMoney Article
""Shorting stock without physical possession of the stock certainly keeps the market liquid but hedge funds' arguments that three days are not sufficient to locate stock and deliver it is only proof that the SEC's failure-to-deliver regulations have been ignored for years."""
http://www.euromoney.com/Article/1990841/BackIssue/65741/Naked-shorting-Funds-up-in-arms-about-short-selling-ban.html
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There is a new Naked Shorting Message Board on Investor Village where people can share information.
http://www.investorvillage.com/groups.asp?mb=14616&pt=m
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http://online.wsj.com/article/SB121789210678211695.html?mod=googlenews_wsj
| REVIEW & OUTLOOK | ||
| |
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Justice and Milberg
August 5, 2008; Page A18
excerpts
Poor Bernie Ebbers, the former WorldCom boss now serving a 25-year prison sentence. If he'd been a class-action lawyer, the former CEO might have ended up with a fat payout from his employer despite his felony rap. At least that's one way to look at the Justice Department's recent nonprosecution agreement with the notorious Milberg law firm.
We criticized the deal last month for letting the law firm pay Melvyn Weiss -- its former lead partner and now admitted felon -- a share of the firm's future lawsuit winnings. Milberg also picked up his legal fees and expenses. We've since learned that all of this was fine with prosecutors at Justice. Thom Mrozek, spokesman for the U.S. Attorney's office in the Central District of California, confirmed the contents of last week's letter to us from five Milberg partners saying Justice had given them the green light to keep Weiss in the financial style to which he had become accustomed.
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Regulators turning a blind eye.....
Excerpt from Gold Seek:
Naked Short Sales [or Monetization] – More Flavors Than Ben and Jerry’s
In the mainstream financial press, of late, there has been much-ado about NAKED SHORT SALES of equities [stocks]. That these phantom stock trades do in fact occur cannot be refuted. The Securities and Exchange Commission [SEC] has not only acknowledged that these fraudulent trades do occur, although illegal, but they have even gone so far as to announce that they will be vigilant – going forward – to ensure these illegal trades do not happen to selective financial stocks.
What this shows is that regulators – in this case the SEC – do, at least on occasions - turn a blind eye to illegal actions right under their noses and certainly within their jurisdictions.
What impressed Kirby about naked short sales of equities was how similar in appearance they were with the purchase and sales of bonds – particularly in the case of J.P. Morgan Chase – that, likewise, cannot legally exist.
In the case of “phantom” stocks, laymen cannot tell the difference between real ones or the fakes. The only folks who do know the difference are the settlement agents – the DTCC [Depository Trust Clearing Corporation] – whose leadership is made up of the very firms [banks and investment firms] who perpetrate these crimes. To date, neither the DTCC nor the SEC have shown any willingness to expose the firms who have participated in these activities – citing bogus reasons of not wanting to reveal trade secrets. For all intent and purpose, the trade data is buried and will never see the light-of-day.
Folks would do well to remember the most predominant character trait of international bankers; namely, they’ve never paid allegiance to ANY nation and their conduct is best described as supra-national. History proves this point:
Full story: http://news.goldseek.com/GoldSeek/1217946600.php
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Please help spread the word whether you enter the contest or not. tia
Excerpts
http://www.deepcapture.com/the-story-of-deep-capture-by-mark-mitchell/
To enter our $75,000 "Crack the Wall Street Cover-up!" contest read to the bottom of this (very long) story.
The Columbia School of Journalism is our nation’s finest. They grant the Pulitzer Prize, and their journal, The Columbia Journalism Review, is the profession’s gold standard. CJR reporters are high priests of a decaying temple, tending a flame in a land going dark.
In 2006 a CJR editor (a seasoned journalist formerly with Time magazine in Asia, The Wall Street Journal Europe, and The Far Eastern Economic Review) called me to discuss suspicions he was forming about the US financial media. I gave him leads but warned, “Chasing this will take you down a rabbit hole with no bottom.” For months he pursued his story against pressure and threats he once described as, “something out of a Hollywood B movie, but unlike the movies, the evil corporations fighting the journalist are not thugs burying toxic waste, they are Wall Street and the financial media itself.”
His exposé reveals a circle of corruption enclosing venerable Wall Street banks, shady offshore financiers, and suspiciously compliant reporters at The Wall Street Journal, Fortune, CNBC, and The New York Times. If you ever wonder how reporters react when a journalist investigates them (answer: like white-collar crooks they dodge interviews, lie, and hide behind lawyers), or if financial corruption interests you, then this is for you. It makes Grisham read like a book of bedtime stories, and exposes a scandal that may make Enron look like an afternoon tea.
By Patrick M. Byrne, Deep Capture Reporter
NEW! Download the Story of Deep Capture in .pdf format.
By Mark Mitchell, with reporting by the Deep Capture Team
Introduction - by Mark Mitchell
I began working on a version of this story in January 2006, while serving as an editor for the Columbia Journalism Review, a publication tasked with upholding the standards of the American media. In November 2006, a hedge fund that was at the center of the scandal I was investigating offered the Columbia Journalism Review a great deal of money. Shortly before CJR accepted the money, I left my job, so I do not know if my editors, whom I believe to be honest people, would have allowed me to persevere. But I have no doubt that the hedge fund’s “beneficence” was aimed at preventing the publication of stories like this one.
And it might well have succeeded if Patrick Byrne had not approached me with an idea. Why not combine forces and spearhead a whole new approach to investigative journalism? Most media content is produced by rumpled journalists (i.e., people like me), working alone under tight constraints. Deep Capture could be something different - a power team circumventing the traditional media and pushing limits to uncover the truth.
When I entered the picture, this team had already established that a small number of law-breaking hedge funds had put the American financial system at risk of collapse. Indeed, the hedge funds are employing the same tactics that contributed to the stock market crash of 1929 and the Great Depression that followed. If you want to understand the current turmoil in our financial markets, you could do no better than to read the material in Deep Capture: The Analysis.
The lengthy (40,000 word) story that follows should help you to understand how - and why — Patrick came to embark on this project. I am the author of the story, and attest to its accuracy, but it benefits substantially from the work of the Deep Capture team: freelance researchers, bloggers, gonzo computer hackers, economists, and even a one-time foreign intelligence agent.
Some mainstream journalists will not like this story. They will perhaps disapprove of our methods or decry the advent of vigilante journalism. But most of all, they will not like this story because it is largely about them - a tale of reporters who seek to be players, but instead become pawns - a tale of prominent journalists who help cover up a massive financial crime while toadying to some of Wall Street’s slimiest operators.
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http://www.youtube.com/user/securitiesreform
American Entrepreneurs for Securities Reform From: securitiesreform
* * * * *
Public Interest Group Vows 19-State Campaign If Regulators Fail To Act
excerpt
LOS ANGELES, Aug 06, 2008 /PRNewswire-USNewswire via COMTEX/ -- A national organization dedicated to bringing attention to fraudulent financial practices today called on Securities and Exchange Commission (SEC) Chairman Chris Cox to make permanent his recent ruling prohibiting a corrupt practice of stock market "short-selling." American Entrepreneurs for Securities Reform (ASR) applauded the SEC and Cox's temporary rules, but pointed out that the emergency order has only been extended until August 12, and protects just 19 companies. The group pledged that if the rules are not made permanent in 2008, they will organize campaigns in 19 states via the initiative process to achieve this fundamental reform. "The SEC did the right thing when it voted for the second time to extend temporary rules and restrict short-selling. Now, it must finish the job," said Jonathan Wilcox, spokesman for Americans for Securities Reform. "While we commend this courageous action in the face of opposition from greedy hedge funds and shady Wall Street players, it is only a band-aid on the serious corruption soiling our capital markets."
http://www.marketwatch.com/news/story/american-entrepreneurs-securities-reform-calls/story.aspx?guid=%7BA296B970-5182-40F1-A605-36B2FD37DAEA%7D&dist=hppr
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South Dakota & NSS
Treas. Secretary Paulson: "Naked Short Selling is wrong anywhere" According to U.S. Treasury Secretary Hank Paulson, "In terms of naked shorts, my view on that is naked short selling in wrong anywhere. Any investor before they sell short should line up the stock and that goes without saying."
We can’t wait on Washington DC bureaucracies or New York Courts.
YES on 9, The South Dakota Small Investors Protection Act is a consumer protection to ensure that when South Dakota small investors buy stock in publicly traded companies the stock will be delivered to their accounts in a commercially reasonable time period, presumed to be three days. The act will curb what’s called “failure-to-deliver” or FTD’s.
According to testimony before Congress, on any given trading day, $6 billion of stock fails to be delivered. The Security & Exchange Commission (SEC) lists some four-thousand companies whose stock has failed-to-deliver – including some well-known South Dakota companies -- with some stocks being failed-to-deliver for years.
FTD’s create phantom shares that circulate in the system as real shares. The effect is the same as counterfeiting currency – it dilutes and destroys stock value. It’s just like copying a $100 bill in the Xerox machine, or buying a car without the seller delivering the vehicle to you.
YES on 9 – The South Dakota Small Investor Protection Act is only 50 words long and allows the State of South Dakota to fine or prosecute a firm if it:
"Has engaged in a pattern of commercially unreasonable delay in the delivery of securities sold, or has sold securities that the person did not own or have a bona fide contract to purchase. For the purposes of this subdivision, commercially unreasonable is presumed to be more than three business days."
So, what exactly does YES on 9 mean?
When South Dakotans buy stock, they’re going to get the stock they bought. If they don’t, the perpetrators will be subject to South Dakota law. Currently, the only remedy for a defrauded South Dakotan would be through the Washington DC bureaucracy or the New York courts.
Voting YES on 9 codifies in South Dakota law the same prohibitions against failure-to-deliver that exists in Federal law, and mirrors civil fines and criminal penalties already in South Dakota statutes for other forms of similar fraud. So just like a bank robber is subject to South Dakota and Federal law, so too will be those who sell stock to South Dakotans and never deliver it.
Yes on 9 is chaired by former South Dakota Attorney General Mark Meierhenry who wrote the language for the South Dakota Small Investor Protection Act. It seeks support from all South Dakotans concerned about ensuring that South Dakotan’s are protected from fraud.
Vote “YES” on 9
“Let’s ensure South Dakotans get what they paid for!”
http://www.voteyes9.com/ Read the letter by Senator Tim Johnson of South Dakota to C. Cox.
http://www.voteyes9.com/letter.pdf All the above courtesy of Patchie at www.investigatethesec.com
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I just checked in on the bkhm board. I try to remember to stop by there once a year to see if the stock ever recovered. Wrong Way Cramer screamed on his college mad money tour at Harvard to buy bookham. I think the stock was about $8 in the after hours at the time. He told them to use their tuition money if I recall correctly. It nosedived the next day and now sits at $1.66. This post is on the yahoo bkhm board.
CRAMER BOOK BURNING. SATURDAY 8/9/2008
Time: 2:00pm
Place: Tompkins Square Park in the Lower East Side, NYC. 7th St and Avenue A
Bring your book(s). We'll supply the lighters.
Be there and tell your friends.
I can't understand why any college would let this guy on campus. What could be gained for the students. But then again they let the credit card companies solicit the students who have no incomes, encouraging them to run up debt while they are undergraduates. What a sad state of affairs.
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http://finance.yahoo.com/retirement/article/105522/Now-Wall-Street-Wants-Your-Pension-Too
Now Wall Street Wants Your Pension, Too by Matthew Goldstein
Friday, August 1, 2008
JPMorganChase, Citi, Cerberus, and Morgan Stanley are among the firms lobbying Washington to let them take over and run corporate pension funds
The folks who brought you the mortgage mess and the ensuing hedge fund blowups, busted buyouts, and credit market gridlock have another bold idea: buying up and running troubled corporate pension plans. And despite the subprime fiasco, some regulators may soon embrace Wall Street's latest scheme.
| |
.....
But the gambit to turn pensions into for-profit enterprises raises troubling questions. Critics, including some on Capitol Hill, worry that financial firms don't have workers' best interest at heart, which would put some 44 million current and future retirees at risk. "We think it's just a terrible idea," says Karen Friedman, policy director for advocacy group Pensions Rights Center. "In the wake of the subprime crisis, it would be crazy to allow financial institutions to manage these plans
.....
If Wall Street gambles with those pension assets and loses, U.S. taxpayers would probably foot the bill. When a company with a pension goes belly up today, the Pension Benefit Guaranty Corp., under federal law, has to take on the fund's obligations and dole out money to its beneficiaries. It's a costly burden: The PBGC currently runs a $14.1 billion deficit.
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Here is the Depository Trust and Clearing Corporation Board of Directors responsible for settling the stock trades. Is it any wonder they are in agreement to take your money and deliver NOTHING!
Some of the banks they work for just wrote off billions in losses.
http://www.dtcc.com/about/governance/board.php
Board of Directors
The 2008 DTCC Board will be made up of 21 directors, serving one-year terms. Seventeen directors are representatives of clearing agency participants, including international broker/dealers, correspondent and clearing banks, mutual fund companies and investment banks. Two directors are designated by the preferred shareholders, NYSE Euronext and FINRA, and the remaining two are the chairman and chief executive officer and the president of DTCC.
All of the Board members except those designated by the preferred shareholders are elected annually. Individuals are nominated for election as directors based on their ability to represent DTCC’s diverse base of participants, and Board committees are specifically structured to help achieve this objective. In addition, to ensure broad industry representation and expertise on key industry subjects, industry representatives that are non-Board members serve on a number of DTCC Board committees.
Donald F. Donahue
Chairman & Chief Executive Officer,
21-year veteran of DTCC
William B. Aimetti
President and Chief Operating Officer,
Responsible for all day-to-day operations of DTCC
Mark Alexander
Managing Director - Global Markets,
Merrill Lynch
Gerald A. Beeson
Senior Managing Director and Chief Financial Officer,
Citadel Investment Group, LLC
J. Charles Cardona
Vice Chairman,
The Dreyfus Corporation
Stephen P. Casper
Chairman and Chief Executive Officer,
Fischer Francis Trees & Watts, Inc.
Art Certosimo
Executive Vice President,
Bank of New York
Randolph L. Cowen
Chief Information Officer,
Goldman Sachs
Norman Eaker
Principal,
Edward Jones
Robert Kaplan
Executive Vice President,
State Street Global Services
Gerard LaRocca Gerard LaRocca
Managing Director, Chief Administrative Officer of the Americas,
Barclays Capital
Ian Lowitt
Co-Chief Administrative Officer,
Lehman Brothers Holdings Inc.
Norman Malo
President and Chief Executive Officer,
National Financial Services LLC, Fidelity Investments
Louis G. Pastina
Executive Vice President of NYSE Operations,
NYSE Euronext
Ronald A. Purpora
President,
ICAP Securities USA LLC
Neeraj Sahai
Senior Managing Director,
Citi Markets & Banking
Timothy J. Theriault Timothy J. Theriault
President of Corporate and Institutional Services, Northern Trust Corporation
Michele Trogni
Global Head of Operations,
UBS AG
David A. Weisbrod
Senior Vice President,
JPMorgan Chase & Company
--> * * * * *
Another post by Tom on Ian's site
http://www.thestandard.com/news/2008/08/04/overstock-com-ceo-im-not-vindictive
It was late here in California when I made my last post, so I was only marginally helpful. The link to the data is here: http://www.sifma.org/research/statistics/other/NYSEtotal.xls SIFMA is the Securities Industry and Financial Markets Association. They represent 650 mainly broker dealers out of thousands. So the data on "fails to receive" of $140 Billion is only a fraction (how big or small of a fraction I do not know), that shows up on their aggregate balance sheet for Q1 2008, is far larger when non NYSE and non SIFMA members are taken into account.
Mark to Market
Further the $140 billion figure is a "mark to market" value owed to customers, not what customers paid the broker-dealers for those undelivered securities. If the broker-dealers were forced to go out and obtain those securities, which are owed customers, then the price to buy or obtain them would be far higher than the current mark to market value carried on the books. This is simple logic and supply/demand equilibrium at work. add the non SIFMA members, the non NYSE broker-dealers and who knows the number of securities and the value of all "fails" that are owed to customers.
Real Liability
If the real mark to market value today is say, 300 Billion, counting all broker-dealer in the market - then the real liability and costs deliver the securities owed customers could easily top $1 trillion. There is not enough money or equity with the broker dealers to do this. They are already playing a game of brinkmanship with the entire economy. Witness the bail out of Bear Stearns. Cox said himself that investment banks - prime broker-dealers- maintain only a fractional of investor assets, allowing a "run on the bank" scenario.
But broker-dealers are not banks in the sense that they are allowed to hold securities in a way banks hold money in a fractional reserve system. They are prohibited from doling out customer assets and not holding and maintaining them in a safe manner. After the 1929 crash there were laws and rules passed. These are SEC rules 15c3-1, 15c3-2 and 15c3-3.
Further, to see the level of inept enforcement, the SEC admitted to me, via a Freedom of Information Act request and answer, that they do not keep track nor have any data on "fail to receive" - not who, not how many, not the value, the trends, nothing. This is possibly a trillion dollar liability and the SEC doesn't want to know anything about it.
The Nutek Case
There was a case, filed in Nevada state court in October 2003, CASE NO.: CV-S-03-0321-JCM-RJJ. that shows what is going on. The share holders tried to get physical certificates and not all could, because there were not enough real shares to go around. Broker-dealers had credited more shares to customers via electronic entry than they actually had obtained for their customers. Remember the "Failure to Receive" obligations I just talked about? The reasons on why the broker are net short the securities relative to their own customers can also be manyfold. They may have attempted to by the shares and not received them from the clearing firm but instead get a "fails to receive" security. Or, they may have never even attempted to do that and just went short against their own customer, carrying the short position in their proprietary account and holding the fails to receive for the client, because there never was delivery.
Anyway, the story goes that the brokers could not deliver Nutek physical certificates in enough numbers. This is a statement of fact and the reason for the lawsuit. So after a while. the broker agree to set themselves a deadline to deliver the remaining certificates and the court signs off on that. Deadline comes and goes and no certificates. So this drags on and the broker-dealers make all the legal moves they can.
The story ends in that the broker-dealers won, simply because the investors who sued could not keep paying the legal fees to keep the case alive, so it was dropped. An already harmed group of investors were demoralized and not willing to keep spending money, or perhaps they were broke by then.
Silver
The broker dealers in NY do not just do this with equity securities, no. They do this with anything of value. Bonds, Treasuries, and even commodities. Read this if you dare:
http://investorprotectioncoalition.org/files/Silver_Fraud.pdf
The real status of the NY firms is that they are already insolvent. If they had to deliver all the assets belonging to their customers, equities, bonds and commodities, they would be broke long before it could be accomplished. These are not a banks in the monetary system that are permitted to fraction customer assets this way and play Russian Roulette. They have decided on their own to do this anyway, slowly over the years, to siphon off customer assets. for their own use and placing a spot holder or IOU note in place of the assets, if they do even that in some cases.
The official balance sheets do not show this, because of marking and reporting accounting treatments masking the real liabilities.
The victims of these broker-dealers have every right to defend themselves. We are not the crazies. Patrick has a double and triple load of responsibilities in that he also has to protect his investors and his employees. Sadly, I have talked to several CEOs and BODs, trying to get them involved and they seem stunned into inaction. It goes against everything they have learned and been told their entire lives and just can't act against that sentiment, despite the facts and explanation laid out before them. Human nature is like that. Patrick sets himself apart from the rest in my eyes, because he has been one the only respectable CEO willing to put all his reputation out on line like he has. Everyone else has ducked at some point.
Tom Vallarino
http://investorprotectioncoalition.org
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More good stuff....
.....from Dave. << "In the other inquiry, the OIG is reviewing allegations that a Commission manager committed perjury in a letter to a Senator that discussed naked short selling in the context of a particular enforcement matter." http://sec.gov/about/oig/audit/2008/semiapr08.pdf
I believe the letter in question is most likely this one: http://investigatethesec.com/drupal-5.5/node/123
If this is true, a key individual in the SEC's Division of Trading and Markets relative to short sale reforms has a serious conflict of interest going on. This in itself is a major story. >>> This looks like another juicy matter to follow.
http://www.investorvillage.com/smbd.asp?mb=3532&mn=22696&pt=msg&mid=5359744
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http://www.ft.com/cms/s/0/94dc3528-63c6-11dd-844f-0000779fd18c.html
After the bankers looted the banks they are busy preparing new rules so that it does not happen again.
Big banks seek to limit their own risks
By Aline van Duyn in New York
Published: August 6 2008 16:39 | Last updated: August 6 2008 21:08
Many of the world’s biggest banks are proposing reforms that would limit the size and scope of their businesses in one of the most dramatic responses to the credit crisis.
The proposals would hold down the number of investors who can buy complex financial products, bring large swathes of the derivatives markets into regulators’ sights and call on banks to spend more on technology and risk management.
The consequence would be that many of the securitisation businesses that helped fuel the boom on Wall Street and the City of London in the middle years of this decade could face tougher oversight and find far fewer opportunities for growth.
“No one has any illusions [about the severity of the problems],” said Gerald Corrigan, managing director of Goldman Sachs and former head of the Federal Reserve Bank of New York, who led the study on which the proposals are based.
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CareToLive had its appeal before the Federal District Court in Ohio over the FDA's corrupt failure to approve Provenge, a safe and effective immunotherapy for prostate cancer that an FDA appointed panel of experts (assembled at a cost of hundreds of thousands of dollars to the taxpayers) voted overwhelmingly safe and effective.
Kerry Donahue, our attorney had 15 minutes to argue that the case should be heard, since the decision to delay was final for our members who died waiting this past year for Provenge, which is non invasive and non toxic, to no avail. Provenge has been through over 10 years of trials and besides being voted 17-0 safe, and 13-4 substantial evidence of efficacy (2 of the naysayers being oncologists with severe conflicts of interest received waivers although they still did not disclose many of their conflicts) and showing survival benefits (Eduardo Garcia, who could barely get out of bed before entering a Provenge trial is doing so well 7 years later that he went back to work), the FDA says that it is an ongoing process so the decision was not final, so the case should not be heard. We await the 3 judge decision.
We also received more Freedom of Information documents this week with a key piece of evidence redacted, saying it was personal information, which we believe was not personal at all, except as in incriminating, which I guess Dr. Scher and the FDA think that is personal. We are filing to make them turn over the document. More on this at http://www.CareToLive.com
I urge everybody to join this battle against the chemo cartel to get the FDA to approve this immunotherapy for prostate cancer. Dendreon also has immunotherapies they are working on for breast, colon, lung cancer etc. We need to break down the walls at the FDA, the pharmaceutical companies, Wall Street and the corrupt advocacy groups who are content to keep things the status quo to keep the cash register ringing.
There are also some fine advocacy groups that are not included in this group, as there are Wall Streeters and FDA employees who are on our side and want this immutherapy approved NOW! Join us!
http://www.CareToLive.com
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one trillion = 1,000,000,000,000
http://www.marketwatch.com/news/story/consumer-credit-jumps-fastest-rate/story.aspx?guid=%7BAF3A11DB-9CAE-4B84-91B7-6C6919A21F26%7D
Consumer credit jumps at fastest rate in 7 months
By Rex Nutting, MarketWatch
Last update: 3:35 p.m. EDT Aug. 7, 2008
Comments: 3
WASHINGTON (MarketWatch) - U.S. consumers took on $14.3 billion in debt in June, the biggest increase in seven months, the Federal Reserve reported Thursday.
Consumer credit, excluding mortgage debt, expanded at a 6.7% annual rate in June after rising at a 3.8% pace in May. It was the biggest increase since the $17.1 billion (8.2%) gain in November.
Consumer debts totaled $2.59 trillion at the end of June. Debt is up 5.3% from a year ago.
Revolving debts, such as credit cards, rose by $5.5 billion, or a 6.8% annual rate, slower than the 7.6% in May.
Nonrevolving debts, such as auto loans, increased $8.8 billion, or a 6.6% annual rate, the biggest increase since last August. The increase was something of a surprise considering the drop in auto sales during the month from 14.3 million annualized units to 13.7 million.
In the second quarter, consumer credit expanded at a 4.9% annual pace compared with a 5% gain in the first quarter.
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Refco's Grant Gets 10 Years for $2.4 Billion Fraud
http://www.bloomberg.com/apps/news?pid=20601087&sid=aXwCjopr6bmU&refer=home
excerpt
Seeking leniency, defense attorney Aitan Goelman distinguished Grant's conduct at Refco from that of Bennett. He said in a legal brief that Grant earned $16 million from Refco's leveraged buyout while Bennett made $1.2 billion.
Car Comparison
Bennett owned 15 cars, including six Ferraris and three Porsches, and Grant drove a 1997 Range Rover and lived in a one- bedroom apartment, Goelman said.
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New Easter Bunny blog
http://www.thesanitycheck.com/BobsSanityCheckBlog/tabid/56/EntryID/706/Default.aspx
How Big is the Failure to Deliver/Naked Shorting Problem? Yet More Information...
Excerpts
How big is the problem? I mean, we hear the now famous $6 billion delivery failure number tossed around from the DTCC, but how accurate is that, really? Is it a complete answer? Is there more information that is knowable?
The answer is, yes, more is knowable.
"Approximately US$1.8 trillion worth of trades remain outstanding and unsettled globally every business day, contributing significant credit and operational risk exposure to the trading participants."
That from the document at Touchbriefings.com. Huh. $1.8 trillion is a big number, even by Pentagon standards.
http://www.touchbriefings.com/pdf/1417/kumar.pdf
Or how about this? From the DTCC:
"For example DTCC estimates that 5% of secondary market trades fail to settle each day. With approximately $4.5 trillion of settlement value in 2004, failed transactions equal $ 225 billion daily."
http://papers.ssrn.com/sol3/papers.cfm?abstract_id=849224
Alternatively, we can go to the UK Exchange Handbook, which contains some fascinating perspective on our wondrous settlement system.
http://www.exchange-handbook.co.uk/index.cfm?section=articles&action=detail&id=38756
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Part 1 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-upby RoryKearney | July 11, 2008 at 07:13 am | 4239 views | 33 commentshttp://www.nowpublic.com/world/naked-shorts-75-000-cracking-wall-street-cover
Part 2 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up
by RoryKearney | July 18, 2008 at 08:43 am | 412 views | 1 comment
http://www.nowpublic.com/world/part-2-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 3 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
by by RoryKearney | July 19, 2008 at 06:32 am | 559 views | 3 comments
http://www.nowpublic.com/world/part-3-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 4 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
by RoryKearney | July 23, 2008 at 10:05 am | 380 views | add comment
http://www.nowpublic.com/world/part-4-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 5 — Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
by RoryKearney | July 23, 2008 at 10:05 am | 371 views | add comment
http://www.nowpublic.com/world/part-5-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 6— Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
by RoryKearney | July 26, 2008 at 08:03 am | 433 views | 2 comments
http://www.nowpublic.com/world/part-6-naked-shorts-75-000-cracking-wall-street-cover-redux
Part 7— Naked Shorts — $75,000 For Cracking the Wall Street Cover-up REDUX
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