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Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose

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Posted by:   bobo 4/30/2007 5:10 PM

I read the latest chestnuts from Reuters today, wherein ex-celebrity hedge fund manager David Rocker was addressing the CFA convention (doesn't that sound like a hoot!) about how lawsuits are chilling the "analyst industry," and out of my nose launched a near-latte stream of tepid java.

Ouch.

This is really funny stuff, folks, all the more because of the high-minded seriousness of the delivery. One can almost hear the Shar Pei-like resonance of Mr. Rocker's tremulous voice as he expressed his outrage. Read all about it here.

Some of my favorites:

"To these already asymmetric pressures you now add the threat of litigation," he added, in remarks to the CFA Institute Annual Conference of financial analysts and portfolio managers in New York."

Er, ahem. Yes. Would that be the same threat of litigation leveled against your's truly by this sanctimonious short, when he was hit with the "frivolous" suit that was closely followed by his retirement? I guess being sued over conniving to time false and defamatory research reports for profit is bad, but being sued for commenting on it is, uh, well, good. Or maybe it isn't, given that the threatened suit against the Easter Bunny never materialized. So maybe it's just the threat of doing so that is so good. You'd have to ask the loquacious Mr. Rocker for clarification. I can't seem to grasp the nuances.

"Rocker called those suits "mirror images" of the Overstock suit, and questioned whether such lawsuits create disincentives for analysts to write about stocks that may be candidates for short selling."

Could be. Could be they also create a disincentive for analysts who conspire to lie about victim companies with hedge funds and journalist-quislings so that their uber-wealthy manipulating managers can generate yet more wealth whilst creating and building nothing. Depends on whether the courts find you guilty, I guess. Oh. That. Best to argue one is innocent before CFAs then to admit that so far, all the stalling tactics have resulted in being laughed out of court with the bogus free speech nonsense, not once, but shortly, twice...

"How do we restrict these frivolous lawsuits and provide meaningful disincentives to those who bring them?" Rocker asked the analysts at the conference."

Gee. I don't know. Maybe we can just have hedge fund managers declare to captive audiences what the ultimate, unknowable truth actually is, and then, Godlike, they can smite their foes at will? Sounds like the preferred solution for Rocker.

Given that the courts have so far sided with Overstock, as has the California DA, isn't it a wee bit early to call this frivolous? Maybe Rocker is befuddled in his leisure twilight years, confusing his suit against a message board poster (that was laughed out of court) with the one brought by Overstock, that is prevailing thus far? I guess suing in a frivolous manner is good if you are doing it to chill others' free speech, however being sued yourself for stock manipulation and racketeering-like behavior (not free speech last time I checked) is bad. Again, very confusing, but funny. Sue your critics and bully them if you are a hedge fund manager? Good. Sue over illegal activity? Bad.

"Litigation in this country is a disaster," he added. "It's an inefficient process that drags on for years regardless of the frivolousness of the claim.""

That's where the coffee came hurling forth. Given that the good Mr. Rocker has tried everything but bombing the courthouse to stall his day in court, preferring to launch a free speech defense that was tossed, and then continuing to stall as he appealed that tossing, his whining over the lengthy time involved in bringing slimeballs to justice in court is pretty GD funny. I mean, he must think we are all as dim as a VW taillight if he thinks we are buying this. Hence the cuppa Joe sinus spray.

"Certainly there's a great deal of shorting going on, but in terms of the people who make a career out of short selling ... that number has diminished dramatically," Rocker said."

Which has what precisely to do with colluding with a bought-and-paid-for research firm to time bogus reports so that you can make a fortune from your positions? Nothing I can tell. Short interest is at an all time high, hedge funds who short by definition are having record years, the stock loan business is bigger than ever in history, and we should all be doing a boo hoo over these poor beleaguered victims of oppression? Puhleese. I mean, really. What's next? Steve Cohen intoning that money is the root of all evil?

One thing I am constantly amazed at is how these weasels act as though the rest of the country is a bunch of cretins with no collective memory, nor the ability to read simple sentences. Yikes.

I absolutely cannot wait for this poor man to have his day in court, and an opportunity to try this out on a jury of 12 ordinary folks. I'm sure there won't be a dry eye in all Marin on that day.

Really.

So stop the stalling, get on with discovery, and let the poor man be vindicated.

After two years, a hasty retirement, and oddly contradictory statements before a breathlessly credulous and fawning NY press, isn't it about time that all facts were known, and this proud hero's honor restored to its full glory?

I'd say so. Let's get on with it.

And now back to our regular programming of a corrupt government system aiding and abetting the looting of a nation by contemptuous financial charlatans, whilst the majority of the citizenry illiterately stares at the boob tube and howls with glee at American Idol.

 

Copyright ©2007 Bob O'Brien
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Comments (19)
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By bbhindyou on 5/1/2007 6:14 AM
Forget american idol!
Watching the three stooges you know them , manipulator of naked/counterfiet shorts [moe] ,sec [larry],dtcc [curly], and their crazy antics to come as they try to escape the corner they painted themself's into called Oklahoma.
I can't wait to see them take on tommytoyz little dividend machine as well.
It ought to be a hoot!
Their regular game plan wont work [bankrupting the company by selling shares and keeping the money and not delivering shares] I can't wait to see what they will try next.How will they kill the targeted companys ?
The only thing I do know is moe will blame and smack larry and larry will blame and smack curly but whats curly gonna do?
Stay tuned.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By particleswaves on 5/1/2007 6:15 AM
And we once thought that taxation without representation was bad; as it turns out taxation with representation is worse. Obscenely wealthy crooks like Rocker exist only because the compromised Congress and the feckless SEC fail to enforce existiing law. A pox on both.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By bobo on 5/1/2007 6:22 AM
That's the irony, isn't it? Laws exist to prevent fraud, theft, racketeering, etc.

But if you don't enforce them, or only selectively enforce them, might as well have no laws.

I'm becoming increasingly convinced that the shell game that is the representation of the rule of law is coming apart in the US. When it is so blatant that a double standard exists, and when it is so clear that the laws you and I must follow simply don't apply to the rich and powerful, the question is at what point does the rank and file also decide not to follow them?

The right of the nobility to trample the rights of the serfs is a dangerous game, historically speaking, for the nobles. When the disparity between systems and rules becomes too obvious, and the inequities too blatant, systems collapse.

I would argue that allowing the kings of the financial system to rob average America blind under the pretense of maintaining our fragile economy and a relatively worthless fiat currency, is a recipe for disaster. The "too big to fail" pretense is nothing more than, "too important to prosecute."

As we saw with John Mack and the Aguirre matter.

This goes nowhere good.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By Harry on 5/1/2007 8:22 AM
Davy is such a ham
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By old duffer on 5/1/2007 10:29 AM
Get the book "The Creature from Jekyll Island" by Edward Grffin. It will make sense of this whole game. This is even bigger than I believed possible.

You can get the book from American Media/ 1-800-595-6596.

Says he put this together to warn people to force a change before it is too late.

A must read in my opinion.

Right after the Bible in value in understanding evil that shows up in man.

.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By mhelburn on 5/1/2007 11:06 AM
The comments from our favorite retiree and all round perfect citizen is confusing. Remember the lawsuit over the sizing of drugs which was a ploy to drive down JCP... and a person from a certain hedge fund signed a woman on without her knowledge. Frivolous.. absolutely... but those who were short and knew about the announcement of the impending suit certainly made a profit... I wonder if discovery in the OSTK case will expose enough larceny that all of this hedge fund's business will be exposed? More important, will the DOJ get involved?
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By ginger on 5/1/2007 11:06 AM
Thanks Duffer... I'm enjoying Griffin's talk on the subject "The Creature from Jekyll Island":

http://www.bigeye.com/griffin.htm
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By Jim on 5/1/2007 6:54 PM
Well, so much for the ethics section on the CFA exam.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By hwh on 5/2/2007 10:38 AM
O.J. got off.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By captdale on 5/2/2007 10:38 AM
Bobo - I don't think this is off topic. I would like to know the name of the "institutional investor" and the name of the "options trading newsletter" mentioned in this article if you can direct me where to find that information please. I am sure that the SEC did indeed invest enormous resources in the investigation.
----------------------
Highly publicized allegations of insider trading in advance of 9/11 generally rest on reports of unusual pre-9/11 trading activity in companies whose stock plummeted after the attacks. Some unusual trading did in fact occur, but each such trade proved to have an innocuous explanation. For example, the volume of put options — instruments that pay off only when a stock drops in price — surged in the parent companies of United Airlines on September 6 and American Airlines on September 10 — highly suspicious trading on its face. Yet, further investigation has revealed that the trading had no connection with 9/11. A single U.S.-based institutional investor with no conceivable ties to al Qaeda purchased 95 percent of the UAL puts on September 6 as part of a trading strategy that also included buying 115,000 shares of American on September 10. Similarly, much of the seemingly suspicious trading in American on September 10 was traced to a specific U.S.-based options trading newsletter, faxed to its subscribers on Sunday, September 9, which recommended these trades. The SEC and FBI, aided by other agencies and the securities industry, devoted enormous resources to investigating this issue, including securing the cooperation of many foreign governments. These investigators have found that the apparently suspicious consistently proved innocuous
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By kevin on 5/2/2007 10:37 AM
Alice goes down the rabbit hole. (Sorry to EB).

http://www.proliberty.com/observer/20070405.htm
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By bobo on 5/2/2007 10:47 AM
Capt:

Dunno. Maybe Anthony Elgindy, who liquidated his entire portfolio on September 10 and told his broker that the market would plummet 3K points the next day also read it all in a newsletter.

The problem is that once you understand most of what you read is a lie or designed to mislead, you get how pervasive the propaganda is. Nothing odd happened in the trading on September 10. Ignore the provable instances where it did. Take our word that we investigated thoroughly - brought to you by the same folks who so thoroughly investigated Pequot. Where is the guy who stood up for Aguirre? Oh, huh, he abruptly retired. After Aguirre was fired. Once you see the web of lies, you start to understand that the truth is whatever you are told it is.

And there is a mountain of stuff to ignore. Just as in the case of the fails. Ignore all the data, proclaim all is well, and bluster your way through it.

What did you think they would say? Hedge funds, operating as black boxes for special interests including our own intelligence apparatus, placed large bets on a massive "terrorist" strike, tipping their hand to advance knowledge? Please. Never happen. Even now, on items we know were lies, most of the country still repeats the lies verbatim. That's why it pays to own the educational system and the media. You can ensure your spin is taught, and do away with most critical thinking capability. Essential if you are going to keep the sheep in their pods, harnessed for their energy.
Letter to the SEC By InTheKnow on 5/4/2007 1:17 PM
Thomas Vallarino
Individual Investor
May 01, 2007
RE : Amendments to REG SHO Release No.: 34-54154, File No.: S7-12-06
Nancy M. Morris, Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-0609
Dear Secretary :
This letter is in response to the comment letter sent by the following entities regarding the REG SHO amendment:
American Stock Exchange Boston Options Exchange Chicago Board Options Exchange International Securities Exchange NYSE/Arca The Options Clearing Corporation Philadelphia Stock Exchange
If anyone has data and evidence of the effects of any REG SHO amendment, it is these entities. However, they fail to provide any data and one should ask why that is. The claims made offer no data to support the claims. Some specific claims by these entities are in italics:
“The NASD analysis supports our contention that the benefits of narrowing of the options market maker exception would be far outweighed by the costs of doing so.”
However, no costs or cost analysis is provided what so ever. So how is anyone to believe or verify their claim? The SEC is bound by the APA to only make rules that can be justified with real data or evidence and justification. This is not a guessing game.
“Our comment letter stated that, as proposed, the narrowing of the options market maker exception would significantly harm the ability of options market makers to provide liquidity and narrow quote widths for options when the underlying security is a “threshold security” without addressing the root cause of the abusive naked short selling. We contended that the result would be unnecessary harm to investors and the marketplace.”
Again, there is a failure to provide any data to justify the broad claims. How much would liquidity suffer? How much would quote widths change or suffer? These questions remain unanswered. The statement also fails to identify the important fact that the contended harm to investors would be only to derivative investors in options, not equity investors in company shares. And again any harm is only contended, not proven or supported in any way. There is not even an attempt to show data. Why have the entities not provided the data they surely have?
The NASD analysis supports our contention that the benefits of narrowing of the options market maker exception would be far outweighed by the costs of doing so.
Again, what costs? Neither the original letter nor this letter provides any data on this at all. As such, according to the APA, the SEC can not just take all these claims at face value.
The NASD analysis shows that only a very small number of
persistent fails are the result of reliance on the options market maker
exception.
It makes little sense to risk this result in order to eliminate extended fails in a small number of threshold securities.
How can such a small number have a mark wide effect? This does not make sense. Perhaps the options market maker exemption is being used far more than appear through CNS Threshold securities? In any case, the entities quoted above who do have the data, decided not to provide it.
We strongly believe that any benefit of the proposed amendment would be very small compared to the costs imposed on options market making and the resultant harm to options customers and the options markets.
Here again, what are the costs? No data is provided despite the APA requirement and the SEC request to have comment letters provide data on claims made.
It also makes no sense to say that on the one hand, the options market maker exemption has a small effect and does not address the root cause of naked short selling, while at the same time saying that narrowing the exemption would have a huge effect on the options markets because naked short selling would be less. But at least they admit that the options market maker exemption is a cause of naked short selling.
My point is, should the SEC make any rules in reliance on these types of unsupported statements, per the APA, the SEC would then have to provide the missing data and analysis in their justification.
Sincerely
Thomas Vallarino
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By bobo on 5/3/2007 12:27 PM
Here's a very interesting email I got from Dr. Decosta, whose 99 page letter to the SEC is up at the SEC site:

"I found it interesting that in SIFMA's (Then SIA)9/19/06 comment letter re amending Reg SHO they state "It is our understanding that the Commission would not be intending to adopt new modifications to Reg SHO relating to the issues raised in these questions at this time, but would rather propose their adoption in a separate rulemaking proceeding". They knew all along that there was going to be a 2nd comment period in re: amending SHO. That crock about needing new data was just that: a crock!"

So it seems that the SEC's entire treatment of SHO is nothing more than theater to keep the rubes believing that they are going to do anything whatsoever that is contrary to the interests of the NY bankers. Not going to happen. At all.

The SEC is owned and operated by these guys. The likelihood that they do something that would hurt a JP Morgan or a Merril or a Bear Stearns is nil. Mark my words.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By gjw46 on 5/4/2007 1:16 PM
re: Options Exchange Comments
"As we explained in our September comment letter, the cost of reducing this
small number of persistent fails is likely to be more limited or non-existent
options market maker liquidity in all current and future threshold securities." If "liquidity" was replaced with "profit position" the whole statement would make more sense. Is there a veiled threat to grandfathered positions here, that a lack of "liquidity" would result in reduced market making activity for that security. Certain death for the company. Make it up in volume boys and move the price to where the market drives it.
"...be certain to be able to establish and maintain effective hedges..." In this business I would imagine that something "effective" translates directly to "profitable". Oh yea, what happens to that small number once all the big numbers have been taken out. Can you say Pareto? G
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By bbhindyou on 5/4/2007 1:18 PM
Where is the Oklahoma bill ?
Is it dead?
Did they pull it's teeth?
Is it like sho being made pointless?Did the little guys lose and the big guys win ,again?
Does corruption rule in every instance?
What state is Oklahoma in?
I hope not a continuing state of denial.
I'm hoping for it to be the first state of enlightenment.
Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By Sean on 5/4/2007 1:18 PM
If they could go after and catch this peon why can't they go after and catch John Mack of Morgan Stanley. I guess this guy had no" juice"

http://money.aol.com/news/articles/_a/banker-charged-with-leaking-txu-merger/20070503192509990001?cid=403


Banker Charged With Leaking TXU Merger News
By SIOBHAN HUGHES, The Wall Street Journal
WASHINGTON (May 3) - The U.S. Securities and Exchange Commission on Thursday charged a Wall Street investment banker with leaking confidential information about pending merger agreements, including a deal involving Texas utility giant TXU Corp.


More From the Journal
The Heartbreak of High-Tech HotelsJob Deferrals Add Options For StudentsEstate-Tax Scams Try to Elude ExpertsPushing Paperless: The Pros and ConsA Closer Look at 'Dry Eye'Hafiz Naseem started working at Credit Suisse Group in March 2006 and immediately began sharing information about pending business deals with a Pakistani banker, the SEC alleged. From his office telephone, regulators charged, Mr. Naseem called the banker at home and on his cellphone in advance of -- and frequently the same day or the day before -- merger announcements. Mr. Naseem served as an investment banker or financial advisor in all of the mergers involved, the SEC said.

"This investigation isn't over," said Stephen Korotash, chief trial counsel in the SEC's Fort Worth, Texas, office. "We know there are others out there who think they've escaped detection. They're wrong. We're coming after them."

An attorney for Mr. Naseem, a Pakistani citizen, couldn't immediately be identified. The Pakistani banker wasn't identified by name. The charges were filed in federal court in Chicago.

The most recent round of phone calls occurred in February, regulators allege, when Mr. Naseem placed several calls to the Pakistani banker in the weeks ahead of the Feb. 26 announcement that TXU had agreed to be purchased by a group led by Kohlberg Kravis Roberts & Co. and Texas Pacific Group. The banker generated profits of about $5 million by trading on the inside information, the SEC alleged.


A Credit Suisse spokesperson couldn't immediately be reached for comment. The SEC's Korotash said that the firm cooperated in the probe.

Besides providing the TXU tip, the SEC said that Mr. Naseem called the Pakistani banker shortly before pending mergers involving eight other companies, including Hydril and Trammell Crow Co., which merged with CB Richard Ellis Group Inc. The Pakistani banker realized profits of about $2.4 million in connection with purchases of securities of these other companies, regulators charged.

The Pakistani banker also provided information about some of the deals to high-profile financial executives in Pakistan, who in turn traded ahead of merger announcements, the SEC said. The SEC didn't identify those executives.


SEC Proposal Letter By InTheKnow on 5/4/2007 1:19 PM
Subject: File No. S7-12-06
From: Robert AlmyMay 3, 2007
All comments should be received on or before April 30, 2007. See, http://www.sec.gov/rules/proposed/2007/34-55520fr.pdf
No comment dated after April 30, 2007 can be considered for the proposed rule changes. But I strongly urge the SEC to follow its statutory mandates and finally start protecting the rights and property of the retail investor. This accounts for more than 99% of the investing public.
In the case MASSACHUSETTS etal. v. ENVIRONMENTAL PROTECTION AGENCY et al. No. 05-1120 decided on April 02. 2007, the opinion of the Supreme Court of the United States is that if a federal agency has authority to regulate provisions of a federal act, then it cannot decide to avoid this statutory obligation. A decision to avoid its statutory obligation exceeds the scope of its discretion under the law.
This Supreme Court opinion confirms that the SEC, as a federal agency, cannot choose to ignore its statutory obligation in regard to the harm caused to investors by delivery failures of registered securities, which in turn are caused by the market maker exemptions and the grandfather clause.
Congress mandated in Rule 17A of the 1934 Securities Exchange Act that our markets have prompt, accurate clearance and delivery. It reads, "The prompt and accurate clearance and settlement of securities transactions, including the transfer of record ownership and the safeguarding of securities and funds related thereto, are necessary for the protection of investors and persons facilitating transactions by and acting on behalf of investors.
The SEC must further respect Section 36 of the 1934 Act, which only allows the SEC to create exemptions to the 1934 Act, to the extent that such exemption is necessary or appropriate in the public interest, and is consistent with the protection of investors
If the SEC intentionally ignores the retail investor again then oversight committees and a Bivens Action may be the answer. The individuals at the SEC who fail to take reasonable steps necessary for the protection of investors under their congressional mandate can be held liable. See, Bivens v. Six Unknown NamedAgents of Federal Bureau of Narcotics, 403 U.S. 388,(1971)
To further educate everyone on a Bivens Actions please read and save this linked document, you may want to give a copy to your lawyer:
http://www.usxp.com/secmemoinop.pdf

Re: Reading The Latest Rocker Nuggets, I Literally Blew Coffee Through My Nose By torrevista2 on 5/14/2007 2:46 PM
Hope your nose is better. What is the SEC doing with all the fines it collects? Do retail investors ever see a nickle? I'll bet they don't. Now the amount of fines collected over the past couple of months is pretty substantial.I'd like to know where the money is going. How about everyone else?
Cheers,
Tor.
Don't read anthing while drinking hot coffee.

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