“It’s all just a pool filled with sharks,” said Urska Velikonja, a law professor who studies securities regulation at Georgetown University Law Center. “It’s where the unwary go to get […]
Securities and Commodities Violations
Trending topics and news from the Securities and Commodities Violations category
Back to news homeWall Street’s Most Reviled Investors Worry About Their Fate
If the price falls, the short seller buys the now-cheaper shares back, returns them to the broker and pockets the difference. But the strategy can be risky. If shares climb […]
Jeff Immelt Oversaw the Downfall of G.E. Now He’d Like You to Read His Book.
At the same time, Mr. Immelt writes, Mr. Bolze engaged in “unyielding politicking” and launched an overt campaign to replace Mr. Immelt as C.E.O., while abandoning his day-to-day operational duties. […]
A GameStop Evangelist’s Videos Draw a Regulator’s Attention
Moonlighting under the name Roaring Kitty, Keith Gill became something of an online folk hero for his dedication to GameStop, the struggling video-game retailer at the center of a trading […]
GameStop Stock Soars as Reddit Investors Take On Wall St.
Retail traders aren’t just buying and selling stocks; they are also buying options, a kind of financial instrument that gives the holder the right to buy or sell a stock. […]
Reddit Traders Made GameStop a $10 Billion Company
A big worry is that this has become a short-squeeze revolt. Short-sellers were down $91 billion for the month through yesterday, according to data from S3. (Such investors have lost […]
Deutsche Bank Said to Pay $100 Million Over Bribery Charges
Federal prosecutors are expected to announce that Deutsche Bank violated anti-bribery laws as it tried to win business in places like China, according to a person familiar with the matter.Deutsche […]
Robinhood Settles S.E.C. Charges Over Misleading Customers
The Securities and Exchange Commission on Thursday said that Robinhood, the stock trading app, had misled its customers about how it was paid by Wall Street firms for passing along […]