https://marketmanipulation.org/cases/technique/rule-105-offering-shorts/ The 30 most recent enforcement records tagged rule 105 offering shorts in the Market Manipulation library, each linked to its primary source. Tags are our classification, not the charges. en-us Mon, 04 Aug 2025 00:00:00 GMT https://marketmanipulation.org/cases/sec-sourcerock-group-llc-rule-105-offering-shorts-2025/ https://marketmanipulation.org/cases/sec-sourcerock-group-llc-rule-105-offering-shorts-2025/ In 2025, the Securities and Exchange Commission settled an action with Sourcerock Group, LLC, alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $250,000. Mon, 04 Aug 2025 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-snow-lake-capital-hk-limited-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-snow-lake-capital-hk-limited-rule-105-offering-shorts-2024/ In 2024, the Securities and Exchange Commission settled an action with Snow Lake Capital (HK) Limited, alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $525,000, disgorgement of $1.8 million, prejudgment interest of $391,858. Thu, 19 Dec 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-fivet-capital-ag-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-fivet-capital-ag-rule-105-offering-shorts-2024/ In November 2024, the Securities and Exchange Commission settled an administrative order with FiveT Capital AG, finding Rule 105 breaches. The order requires a civil penalty of $805,000, disgorgement of $1,593,295 and prejudgment interest of $357,199. Tue, 26 Nov 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-centerline-investment-management-limited-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-centerline-investment-management-limited-rule-105-offering-shorts-2024/ In 2024, the Securities and Exchange Commission settled an action with Centerline Investment Management Limited, alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $111,614, disgorgement of $1.5 million, prejudgment interest of $194,119. Mon, 23 Sep 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-gates-capital-management-inc-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-gates-capital-management-inc-rule-105-offering-shorts-2024/ In 2024, the Securities and Exchange Commission settled an action with Gates Capital Management, Inc., alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $57,615, disgorgement of $432,564, prejudgment interest of $5,445. Tue, 17 Sep 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-kershner-trading-americas-llc-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-kershner-trading-americas-llc-rule-105-offering-shorts-2024/ In May 2024, the Securities and Exchange Commission settled an administrative order with Kershner Trading Americas, LLC, finding Rule 105 breaches. The order requires a civil penalty of $812,355, disgorgement of $593,376 and prejudgment interest of $94,269. Mon, 20 May 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-contrarian-capital-management-l-l-c-rule-105-offering-shorts-2024/ https://marketmanipulation.org/cases/sec-contrarian-capital-management-l-l-c-rule-105-offering-shorts-2024/ In 2024, the Securities and Exchange Commission settled an action with Contrarian Capital Management, L.L.C., alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $140,000, disgorgement of $351,727, prejudgment interest of $29,601. Wed, 21 Feb 2024 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-anson-advisors-inc-rule-105-offering-shorts-2023/ https://marketmanipulation.org/cases/sec-anson-advisors-inc-rule-105-offering-shorts-2023/ In 2023, the Securities and Exchange Commission settled an action with Anson Advisors Inc., alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $600,000, disgorgement of $2.5 million, prejudgment interest of $261,285. Thu, 19 Oct 2023 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-candlestick-capital-management-lp-rule-105-offering-shorts-2023/ https://marketmanipulation.org/cases/sec-candlestick-capital-management-lp-rule-105-offering-shorts-2023/ In February 2023 the Securities and Exchange Commission settled an administrative order with Candlestick Capital Management LP for a breach of Rule 105 of Regulation M, ordering it to cease and desist. The money from the same facts is recorded on the companion court record. Tue, 21 Feb 2023 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-hite-hedge-asset-management-llc-rule-105-offering-shorts-2023/ https://marketmanipulation.org/cases/sec-hite-hedge-asset-management-llc-rule-105-offering-shorts-2023/ In February 2023 the Securities and Exchange Commission settled an administrative order with HITE Hedge Asset Management LLC for a breach of Rule 105 of Regulation M, ordering it to cease and desist. The money from the same facts is recorded on the companion court record. Tue, 21 Feb 2023 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-candlestick-capital-management-lp-et-al-rule-105-offering-shorts-2023/ https://marketmanipulation.org/cases/sec-candlestick-capital-management-lp-et-al-rule-105-offering-shorts-2023/ In February 2023 the Securities and Exchange Commission filed a settled federal complaint against Candlestick Capital Management LP, alleging a Rule 105 breach, with its funds named as relief defendants. The release records a civil penalty of $810,000, disgorgement of $1,620,397 and prejudgment interest of $92,586. Fri, 17 Feb 2023 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-hite-hedge-asset-management-llc-et-al-rule-105-offering-shorts-2023/ https://marketmanipulation.org/cases/sec-hite-hedge-asset-management-llc-et-al-rule-105-offering-shorts-2023/ In February 2023 the Securities and Exchange Commission filed a settled federal complaint against HITE Hedge Asset Management LLC, alleging a Rule 105 breach, with its funds named as relief defendants. The release records a civil penalty of $103,591, disgorgement of $111,628 and prejudgment interest of $4,936. Fri, 17 Feb 2023 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-weiss-asset-management-lp-rule-105-offering-shorts-2022/ https://marketmanipulation.org/cases/sec-weiss-asset-management-lp-rule-105-offering-shorts-2022/ In June 2022, the Securities and Exchange Commission settled an administrative order with Weiss Asset Management LP, finding Rule 105 breaches. The order requires a civil penalty of $200,000, disgorgement of $6,508,793 and prejudgment interest of $190,211. Tue, 14 Jun 2022 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-helikon-investments-ltd-rule-105-offering-shorts-2021/ https://marketmanipulation.org/cases/sec-helikon-investments-ltd-rule-105-offering-shorts-2021/ In September 2021, the Securities and Exchange Commission settled an administrative order with Helikon Investments Ltd., finding Rule 105 breaches. The order requires a civil penalty of $97,523, disgorgement of $669,002 and prejudgment interest of $11,720. Tue, 21 Sep 2021 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-andrew-f-nicoletta-rule-105-offering-shorts-2018/ https://marketmanipulation.org/cases/sec-andrew-f-nicoletta-rule-105-offering-shorts-2018/ In December 2018, the Securities and Exchange Commission settled an administrative order with Andrew F. Nicoletta, Bella Industries LLC, Cranberry Rock Investments, Inc. and J.J. Newport Group, Inc., finding Rule 105 breaches. The order requires a civil penalty of $370,583, disgorgement of $643,932 and prejudgment interest of $78,052 jointly and severally. Wed, 19 Dec 2018 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-millennium-management-llc-rule-105-offering-shorts-2017/ https://marketmanipulation.org/cases/sec-millennium-management-llc-rule-105-offering-shorts-2017/ In October 2017, the Securities and Exchange Commission settled an administrative order with Millennium Management LLC, finding Rule 105 breaches. The order requires a civil penalty of $300,000, disgorgement of $286,889 and prejudgment interest of $51,820. Tue, 31 Oct 2017 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-palestra-capital-management-llc-rule-105-offering-shorts-2017/ https://marketmanipulation.org/cases/sec-palestra-capital-management-llc-rule-105-offering-shorts-2017/ In January 2017, the Securities and Exchange Commission settled an administrative order with Palestra Capital Management LLC, finding Rule 105 breaches. The order requires a civil penalty of $80,000, disgorgement of $93,230 and prejudgment interest of $7,738. Thu, 26 Jan 2017 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-2-west-inc-rule-105-offering-shorts-2016/ https://marketmanipulation.org/cases/sec-2-west-inc-rule-105-offering-shorts-2016/ In June 2016, the Securities and Exchange Commission settled an administrative order with 2 West, Inc., Mijust, Inc., KAKids, Inc., Alton Partners, Inc., Old Farm, Inc., Bloomfield, Inc., Katz Imports, Inc. and Todd B. Katz, finding Rule 105 breaches. The order requires a civil penalty of $707,132, disgorgement of $1,275,985 and prejudgment interest of $42,062 jointly and severally. Tue, 14 Jun 2016 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-auriga-global-investors-sociedad-de-valores-s-a-rule-105-offering-shorts-201/ https://marketmanipulation.org/cases/sec-auriga-global-investors-sociedad-de-valores-s-a-rule-105-offering-shorts-201/ In October 2015, the Securities and Exchange Commission settled an administrative order with Auriga Global Investors Sociedad De Valores S.A., finding Rule 105 breaches. The order requires a civil penalty of $179,277, disgorgement of $436,941 and prejudgment interest of $2,185. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-harvest-capital-strategies-llc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-harvest-capital-strategies-llc-rule-105-offering-shorts-2015/ In October 2015, the Securities and Exchange Commission settled an administrative order with Harvest Capital Strategies LLC, finding Rule 105 breaches. The order requires a civil penalty of $65,000, disgorgement of $18,835 and prejudgment interest of $619. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-j-p-morgan-investment-management-inc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-j-p-morgan-investment-management-inc-rule-105-offering-shorts-2015/ In October 2015, the Securities and Exchange Commission settled an administrative order with J.P. Morgan Investment Management Inc., finding Rule 105 breaches. The order requires a civil penalty of $364,689, disgorgement of $662,763 and prejudgment interest of $56,758. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-omega-advisors-inc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-omega-advisors-inc-rule-105-offering-shorts-2015/ In October 2015, the Securities and Exchange Commission settled an administrative order with Omega Advisors, Inc., finding Rule 105 breaches. The order requires a civil penalty of $65,000, disgorgement of $68,340 and prejudgment interest of $687. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-sabby-management-llc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-sabby-management-llc-rule-105-offering-shorts-2015/ In October 2015, the Securities and Exchange Commission settled an administrative order with Sabby Management, LLC, finding Rule 105 breaches. The order requires a civil penalty of $91,670, disgorgement of $184,747 and prejudgment interest of $2,332. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-war-chest-capital-partners-llc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-war-chest-capital-partners-llc-rule-105-offering-shorts-2015/ In 2015, the Securities and Exchange Commission settled an action with War Chest Capital Partners LLC, alleging conduct this library classifies as rule 105 offering shorts. The release records a civil penalty of $150,000, disgorgement of $179,516, prejudgment interest of $22,302. Wed, 14 Oct 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-oz-management-lp-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-oz-management-lp-rule-105-offering-shorts-2015/ In July 2015 the SEC settled with OZ Management, an investment adviser, for giving four prime brokers inaccurate long and short sale data over almost six years, which corrupted blue sheet submissions, and for a Rule 105 violation in an EOG offering. It paid $4.25 million in penalty, $214,380 in disgorgement and interest. Tue, 14 Jul 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-charles-raymond-langston-iii-crl-management-llc-insider-trading-2015/ https://marketmanipulation.org/cases/sec-charles-raymond-langston-iii-crl-management-llc-insider-trading-2015/ In 2015, the Securities and Exchange Commission obtained a judgment against Charles Raymond Langston III, CRL Management, LLC, and Guarantee Reinsurance, Ltd., alleging conduct this library classifies as insider trading and rule 105 offering shorts. The release records a civil penalty of $502,069, disgorgement of $912,854, prejudgment interest of $148,981. Thu, 11 Jun 2015 00:00:00 GMT SEC insider-trading rule-105-offering-shorts https://marketmanipulation.org/cases/sec-keypoint-capital-management-llc-rule-105-offering-shorts-2015/ https://marketmanipulation.org/cases/sec-keypoint-capital-management-llc-rule-105-offering-shorts-2015/ In March 2015, the Securities and Exchange Commission settled an administrative order with Keypoint Capital Management, LLC, finding Rule 105 breaches. The order requires a civil penalty of $65,000, disgorgement of $11,655 and prejudgment interest of $596. Thu, 19 Mar 2015 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-pennington-capital-management-llc-and-robert-j-evans-rule-105-offering-short/ https://marketmanipulation.org/cases/sec-pennington-capital-management-llc-and-robert-j-evans-rule-105-offering-short/ In November 2014, the Securities and Exchange Commission settled an administrative order with Pennington Capital Management LLC and Robert J. Evans, finding Rule 105 breaches. The order requires a civil penalty of $65,000, disgorgement of $95,205 and prejudgment interest of $5,605 jointly and severally. Wed, 12 Nov 2014 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-petrou-rule-105-offering-shorts-2014/ https://marketmanipulation.org/cases/sec-petrou-rule-105-offering-shorts-2014/ In 2014, the Securities and Exchange Commission settled an action with Thrasos Tommy Petrou, alleging conduct this library classifies as rule 105 offering shorts. The release does not state a monetary figure that we were able to extract. Mon, 27 Oct 2014 00:00:00 GMT SEC rule-105-offering-shorts https://marketmanipulation.org/cases/sec-advent-capital-management-llc-rule-105-offering-shorts-2014/ https://marketmanipulation.org/cases/sec-advent-capital-management-llc-rule-105-offering-shorts-2014/ In September 2014, the Securities and Exchange Commission settled an administrative order with Advent Capital Management, LLC, finding Rule 105 breaches. The order requires a civil penalty of $65,000, disgorgement of $75,292 and prejudgment interest of $3,836. Tue, 16 Sep 2014 00:00:00 GMT SEC rule-105-offering-shorts