Securities Fraud: Detection, Prevention, and Control

Introduction.

Chapter 1 The Face of War.

Cost of Defeat.

Drawn and Quartered.

Art and Fog of War.

Origins.

Human Capital.

Notes.

Chapter 2 Shared Interests.

Trade Secrets.

Shared Interests.

Nation of Farmers.

Statutory Foundations.

Notes.

Chapter 3 The Eleven.

Notes.

Chapter 4 Funding and Fraud.

It Really Doesn't Matter.

Securities? No. Securities Fraud? Yes!

Montgomery to Manhattan.

Promises, Promises.

A Rotten Compromise.

Common Stock – Uncommon Results.

Read the Label.

Financial Pergatory.

An Evil Equation.

Transition to Victimization.

Notes.

Chapter 5 Command and Control (C2).

Absolutologist.

By the Numbers.

It Starts at the Top.

Carlo “Charles” Ponzi.

Robert Vesco.

Robert E. Brennan.

Michael de Guzman et al.

Bernard L. Madoff.

Notes.

Chapter 6 Paid To Steal.

At All Costs - Protect the Brand.

Michael Holoday.

Nick Leeson.

Michael Milken.

Robert L. Citron.

Yanming.

Notes.

Chapter 7 Outside Inside.

Investor Fraud.

Anthony “Tino” De Angelis.

Ivan Boesky.

G. Foster Winans.

Martha Stewart and Sam Waksal.

Notes.

Chapter 8 Misunderestimated.

Advisor Fraud.

Patterns.

Jordan Belfort – Robert Brennan Incarnate.

Frank Gruttadauria.

Martin Frankel (or one of 12 other aliases).

Captain Money - J. David Dominelli.

Eric Bartoli (aka Enrico Orlandini).

Retrospective.

Notes.

Chapter 9 Days of Future Past.

Dystopian Future.

Rating Agencies.

Trevor Cook (Oxford Global Partners).

Patricia Cornwell v. Anchin, Block & Anchin.

Derivatives.

Huang Guangyu.

Galleon Group Hedge Fund.

Jerome Kerviel.

Kenneth Lewis.

Semion Mogilevich.

Sean David Morton.

Rebecca Parrett.

Goldman Sachs.

Marcus Schrenker.

R. Allen Stanford.

Structured Products.

Weizhen Tang.

Douglas F. Vaughan.

Dystopian Past.

In Their Own Words.

Lance Poulsen.

Richard Scrushy.

Chapter 10 The Warrior's Path.

The Endless Struggle.

Appendix A Frequently Used Abbreviations.

About the Author.

Index.