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Securities Fraud : Detection, Prevention and Control.

Author: Straney, Louis L.
Publisher: John Wiley & Sons 2010.
Edition/Format:   eBook : Document : EnglishView all editions and formats
Database:WorldCat
Summary:
"The first complete, expert guide to securities and investment fraud Filled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, Securities Fraud helps you identify red flags of fraud and offers practical ways to detect and prevent it. Written by a Wall Street professional with three decades of experience spanning the most critical period of our financial  Read more...
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Genre/Form: Electronic resource
Electronic books
Material Type: Document, Internet resource
Document Type: Internet Resource, Computer File
All Authors / Contributors: Straney, Louis L.
ISBN: 9781119200055 1119200059
OCLC Number: 732600463
Description: 1 online resource (256)
Contents: Cover --
Securities Fraud --
Contents --
Preface --
Acknowledgments --
Introduction --
Chapter 1 The Face of War --
Cost of Defeat --
Drawn and Quartered --
Art and Fog of War --
Origins --
The Best of Times8212;The Worst of Times --
Lords of Chaos --
Predictably Controversial --
Conventions for Prevention --
The Moderately Trained Advising the Moderately Informed --
Non Sequitur --
Flawed Logic --
Human Capital --
Ordinary People Performing Extraordinary Deeds --
Fraudster8212;Not the Typical Job Applicant --
Heroes and Villains --
New Notions for Old Issues --
A Collarless World --
Definitions: Securities, Investment, Fraud --
Bad Advice, Bad Luck, Bad Service8212;But Not Fraud --
Methodology --
What You Need to Know Versus What Someone Wants You to Know --
Dismantling Silos --
Magician8217;s Curtain --
Notes --
Chapter 2 Shared Interests --
Trade Secrets --
Dutch East India Company --
Shared Interests --
Merchants and Pirates --
Uniformly Non-Uniform --
Scale Reconsidered --
Transfer of Risk --
Innovation Out of Necessity --
Nation of Farmers --
Nyse --
Rags to Ritzes --
Cazique of Poyais --
Land That Never Was --
Mosquito Coast --
Statutory Foundations --
Call to Arms --
Gatekeeper8212;Lock8212;Key --
Far Out of Line With Reason --
Other Voices, Other Rooms --
Grains and Gold --
Notes --
Chapter 3 The Eleven --
Greater Than 10 Yet Less Than 12 --
1. The Kansas Securities Act (Blue Sky Law) --
2. The Securities Act of 1933 --
3. The Securities Exchange Act of 1934 --
8217;34 Act Provisions --
4. The Glass-Steagall Act of 1932 --
5. The Commodity Exchange Act of 1936 --
6. The Investment Company Act of 1940 --
7. The Investment Advisers Act of 1940 --
8. The Bank Secrecy Act of 1970 --
9. The Usa Patriot Act of 2001 --
10. The Sarbanes-Oxley Act of 2002 --
11. Shearson/Amex V. Mcmahon --
Safety Nets8212;A Misnomer --
Coverage Caveats --
Beyond the Rules --
Notes --
Chapter 4 Funding and Fraud --
It Really Doesn8217;T Matter --
Securities? No. Securities Fraud? Yes! --
Montgomery to Manhattan --
Promises, Promises --
A Rotten Compromise --
Common Stock, Uncommon Results --
Read the Label --
Financial Purgatory --
An Evil Equation --
Transition to Victimization --
Notes --
Chapter 5 Command and Control --
Absolutologist --
By the Numbers --
It Starts At the Top --
Carlo 8220;Charles8221; Ponzi --
Robert Vesco --
King8221; of White-Collar Crime --
Guns and Butter --
White Knight From Detroit --
Tom Adams --
Robert E. Brennan --
Blue-Eyed Devil --
Michael De Guzman Et Al. --
Fact: Stranger Than Fiction --
He Was a Slob8221; --
Forced Marriage --
Fallout --
Bernard L. Madoff --
I Am Not Accepting New Clients --
Silos --
Totality and Nothingness --
Sell Down Until You Can Sleep.

Abstract:

"The first complete, expert guide to securities and investment fraud Filled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, Securities Fraud helps you identify red flags of fraud and offers practical ways to detect and prevent it. Written by a Wall Street professional with three decades of experience spanning the most critical period of our financial markets This book challenges classic fraud theories, describing how to dismantle information silos that permit fraudsters to conceal their activities. Begins with an overview of the evolution of securities regulation and the impact of securities fraud. Offers real cases and examples which illustrate recurring themes and red flags. Provides the first guide of its kind to offer a complete look at the various kinds of securities fraud and investment misconduct Securities Fraud is the essential guide you need for a bird's-eye view of fraud that may be taking place even now within your own organization and with your portfolio."--

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