Defendant Name:
Harvest Capital Strategies LLC
Defendant Type:
Subsidiary of Public Company
Document Reference:
2015-239-Harvest
Document Details
Legal Case Name
In the Matter of Harvest Capital Strategies LLC
Document Name
SEC Charges Six Firms for Short Selling Violations in Advanced of Stock Offerings
Document Date
14-Oct-2015
Document Format
Administrative Proceeding
Allegation Type
Securities Offering
Document Summary
On October 14, 2015, the SEC announced enforcement actions against six firms, "as part of its ongoing enforcement initiative focused on violations of Rule 105 of Regulation M." According to the SEC, the 2015 enforcement was the third round of its Rule 105 of Regulation M enforcement initiative. The initial round was in 2013 and the second round in 2014.
Disgorgement & Penalty Information
Resolutions
None Specified