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Oct 3, 2020
SEC Fines Morgan Stanley $5 Million Over Short Sale Violations in Swaps Business
Read More
Mar 25, 2020
Margin Trading and Complex Leveraged Products Could Amplify Losses During Coronavirus Commotione
Read More
Mar 23, 2016
Wedbush Securities Fined $675,000 for Supervisory Violations in 'Chronic' ETF Delivery Failures, Short Sales
Read More
Nov 5, 2015
Anthony Kerrigone Fined $10k & Suspended for Selling Short Securities He Failed to Locate
Read More
Aug 12, 2015
'Real Housewives of Beverly Hills' StockCross Financial Services Firm Fined for Naked Short Selling
Read More
May 15, 2015
Morgan Stanley Fined $2 Million for Short Sale & Interest Reporting Violations
Read More
Oct 29, 2014
Merrill Lynch Fined $6 Million for Short Sale Violations and Supervisory Failures
Read More
Mar 18, 2014
Citigroup Global Markets Ordered to Pay $1.1 Million for Illegal Short Selling Prior to Public Offerings, Supervisory Failures
Read More
