"None of my DD to date has turned anything up that would suggest Dominion has done this in the past."
The only thing I could find (and it's a bit of a stretch), was that Alon Brenner "Director of Operations & Senior Trader" for Dominion Capital Investments, LLC use to work for Andover Brokerage, from 1998 to 2006.
On January 22, 2003 a Cease-and-Desist Proceeding was ordered against Andover Brokerage, LLC ("Andover"), its president, Michael Picozzi, III ("Picozzi"), and two of its traders, Elias Schechter ("Schechter") and David Daily ("Daily").
It alleges that between May and October 1998, Andover, Schechter and Daily willfully violated Rule 10a-1(a) of the Exchange Act ("Short Sale Rule") when Schechter and Daily executed for Andover's proprietary account 202 short sale transactions in New York Stock Exchange listed securities on minus-ticks. The Short Sale Rule prohibits the short sale of a listed security on a minus-tick. In each of these 202 transactions, Andover, Schechter and Daily did not identify these trades as short sales, but rather incorrectly marked them as "long" sales. The Division also alleges that Picozzi failed reasonably to supervise Schechter and Daily within the meaning of Section 15(b)(4) of the Exchange Act. Picozzi instituted an inadequate supervisory system by, among other things, failing to implement procedures reasonably designed to prevent traders from mismarking sell transactions or executing short sale orders on a minus-tick.
This appears to have happened the year (1998) Alon Brenner was hired by Andover Brokerage. So I doubt he was involved or had any idea it was going on.
Like I said its a stretch. It's the only negative thing I could dig up with regards to Dominion and shorting.
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