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Anyone interested in helping me continuing my reporting consider supporting my work:  Here             Alpine Securities Corporation is a US-based brokerage firm that has been involved in several legal cases with the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) in recent years. Today, I'll be highlighting twelve cases from 2013-2023 that paint a grim picture of Alpine Securities and their blatant disregard for the laws meant to keep our financial system fair and equitable. While the outcomes of the investigations have resulted in fines, disgorgement, penalties, and barred individuals from the securities industry, it seems that Alpine Securities has no intention of taking adequate measures to prevent future violations and comply with industry standards, even though every settlement has included an agreement to do so. This article will provide an in-depth analysis of each case and the outcomes of the investigations.      The first c

    Anyone interested in helping me continuing my reporting consider supporting my work:  Here      Transcripts obtained through FOIA requests have surfaced, revealing conversations between the Financial Industry Regulatory Authority (FINRA) and the Securities and Exchange Commission (SEC) regarding the MMAT/MMTLP matter. The transcripts suggest that regulators knew about the manipulation happening in MMTLP more than a year before the events that occurred in December 2022.      On December 5th, 2022, Sam Draddy, the Senior Vice President in FINRA’s National Cause and Financial Crimes Detection Programs, Market Investigations Team, and head of FINRA’s Insider Trading, Market Fraud, and Offering Investigations Units, informed the SEC that the MMAT/MMTLP matter had hit his Fraud team's radar screen. He suggested that his Fraud team could have a conversation directly with the SEC to avoid duplicating efforts. Draddy also mentioned that they were looking at the two issuers from a fraud

Anyone interested in helping me continuing my reporting consider supporting my work:  Here Call for the resignation of Robert W. Cook President and CEO of FINRA https://www.change.org/p/call-for-the-resignation-of-robert-w-cook-president-and-ceo-of-finra?recruiter=1290732141&recruited_by_id=56a1f760-8969-11ed-ab67-1bfd823b5eef&share_bandit_exp=initial-35191586-en-US      The tale of Torchlight Energy Resources is a cautionary one, a warning about the murky world of finance where retail investors are often left at the mercy of market makers and regulatory bodies. It all began innocuously enough in early 2020, with the company seeking to raise capital for drilling projects on their main asset, 97,500 acres of oil-rich land in Orogrande, Texas. However, as is too often the case when a company is targeted by aggressive and predatory short sellers, things took a dark turn.      Short sellers have a vested interest in the failure of a company, and the reasons for this are straightfor

     Anyone interested in helping me continuing my reporting consider supporting my work:  Here      It's an old and storied tradition in the investment world: the bear raid. For centuries, investors and traders have been using this tactic to make money by driving down the price of a stock, a bond, or a commodity. But what is a bear raid, how does it work, And why do some people consider it unethical or even illegal?      A bear raid is essentially a coordinated effort by a group of investors to sell a large amount of a security in a short period of time, with the goal of creating panic and driving down the price. The name "bear" comes from the idea of a bear attacking its prey by swiping downward with its paw – just as the investors in a bear raid aim to bring down the price of a security.      Bear raids can take different forms depending on the market and the security being targeted. In the stock market, for example, a bear raid might involve short-selling a large numb

Anyone interested in helping me continuing my reporting consider supporting my work:  Here Introduction      For years, Wall Street has been the subject of scrutiny from both the media and the public. One of the most criticized areas of finance is short selling, which involves betting against a stock's price. While some see it as a valuable tool for uncovering overvalued stocks, others view it as a destructive force that harms companies and their shareholders.      The Securities and Exchange Commission (SEC) has attempted to regulate short selling through a program known as Regulation SHO (RegSHO). While the program has been in place for over a decade, it has been plagued by problems and criticisms from both sides of the debate. In this article, we will explore the history of RegSHO, its problems, and its impact on the financial world. A Brief History of Short Selling      Before diving into RegSHO, it's important to understand the history of short selling. The practice dates

Anyone interested in helping me continuing my reporting consider supporting my work:  Here      There's a well-known adage in the financial world: "Buy low, sell high." It's a straightforward and time-tested way to make a profit, but what if there was a way to do the exact opposite? That's where naked short selling comes in. It's a practice that has been controversial since its inception, with some claiming it's an essential tool for market liquidity, while others argue it's a form of financial fraud that undermines the integrity of the financial system.      So, what is naked short selling? Why is it so controversial? And how did it come to be in the first place? In this article, we'll explore the history of naked short selling, tracing its roots from the early days of the stock market to the present day. The Early Days of Short Selling:     Short selling is a practice where investors borrow shares of a stock from a broker, sell those shares on th