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Posted On: 02/28/2023 12:03:49 AM
Post# of 32973
Actually if you use the Google Machina, you can see a number of cases that SEC brought forward on short selling. Example...
FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales
Wednesday, 05/10/2022
The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
https://www.financemagnates.com/institutional...ort-sales/
FINRA Penalizes UBS Securities $2.5M for 73,000 ‘Naked’ Short Sales
Wednesday, 05/10/2022
The violations occurred between 2009 and 2018.
The US SEC recently fined UBS Securities $125 million alongside 14 other broker-dealers.
https://www.financemagnates.com/institutional...ort-sales/
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