{"product_id":"securities-fraud-isbn-9780470601570","title":"Securities Fraud","description":"\u003cp\u003eThe first complete, expert guide to securities and investment fraud\u003c\/p\u003e \u003cp\u003eFilled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, \u003ci\u003eSecurities Fraud\u003c\/i\u003e 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.\u003c\/p\u003e \u003cul\u003e \u003cli\u003eBegins with an overview of the evolution of securities regulation and the impact of securities fraud\u003c\/li\u003e \u003cli\u003eOffers real cases and examples which illustrate recurring themes and red flags\u003c\/li\u003e \u003cli\u003eProvides the first guide of its kind to offer a complete look at the various kinds of securities fraud and investment misconduct\u003c\/li\u003e \u003c\/ul\u003e \u003cp\u003e\u003ci\u003eSecurities Fraud\u003c\/i\u003e 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.\u003c\/p\u003e  Preface.  \u003cp\u003eIntroduction.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 1 The Face of War.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eCost of Defeat.\u003c\/p\u003e \u003cp\u003eDrawn and Quartered.\u003c\/p\u003e \u003cp\u003eArt and Fog of War.\u003c\/p\u003e \u003cp\u003eOrigins.\u003c\/p\u003e \u003cp\u003eHuman Capital.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 2 Shared Interests.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eTrade Secrets.\u003c\/p\u003e \u003cp\u003eShared Interests.\u003c\/p\u003e \u003cp\u003eNation of Farmers.\u003c\/p\u003e \u003cp\u003eStatutory Foundations.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 3 The Eleven.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 4 Funding and Fraud.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eIt Really Doesn't Matter.\u003c\/p\u003e \u003cp\u003eSecurities? No. Securities Fraud? Yes!\u003c\/p\u003e \u003cp\u003eMontgomery to Manhattan.\u003c\/p\u003e \u003cp\u003ePromises, Promises.\u003c\/p\u003e \u003cp\u003eA Rotten Compromise.\u003c\/p\u003e \u003cp\u003eCommon Stock – Uncommon Results.\u003c\/p\u003e \u003cp\u003eRead the Label.\u003c\/p\u003e \u003cp\u003eFinancial Pergatory.\u003c\/p\u003e \u003cp\u003eAn Evil Equation.\u003c\/p\u003e \u003cp\u003eTransition to Victimization.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 5 Command and Control (C2).\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAbsolutologist.\u003c\/p\u003e \u003cp\u003eBy the Numbers.\u003c\/p\u003e \u003cp\u003eIt Starts at the Top.\u003c\/p\u003e \u003cp\u003eCarlo “Charles” Ponzi.\u003c\/p\u003e \u003cp\u003eRobert Vesco.\u003c\/p\u003e \u003cp\u003eRobert E. Brennan.\u003c\/p\u003e \u003cp\u003eMichael de Guzman et al.\u003c\/p\u003e \u003cp\u003eBernard L. Madoff.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 6 Paid To Steal.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAt All Costs - Protect the Brand.\u003c\/p\u003e \u003cp\u003eMichael Holoday.\u003c\/p\u003e \u003cp\u003eNick Leeson.\u003c\/p\u003e \u003cp\u003eMichael Milken.\u003c\/p\u003e \u003cp\u003eRobert L. Citron.\u003c\/p\u003e \u003cp\u003eYanming.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 7 Outside Inside.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eInvestor Fraud.\u003c\/p\u003e \u003cp\u003eAnthony “Tino” De Angelis.\u003c\/p\u003e \u003cp\u003eIvan Boesky.\u003c\/p\u003e \u003cp\u003eG. Foster Winans.\u003c\/p\u003e \u003cp\u003eMartha Stewart and Sam Waksal.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 8 Misunderestimated.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eAdvisor Fraud.\u003c\/p\u003e \u003cp\u003ePatterns.\u003c\/p\u003e \u003cp\u003eJordan Belfort – Robert Brennan Incarnate.\u003c\/p\u003e \u003cp\u003eFrank Gruttadauria.\u003c\/p\u003e \u003cp\u003eMartin Frankel (or one of 12 other aliases).\u003c\/p\u003e \u003cp\u003eCaptain Money - J. David Dominelli.\u003c\/p\u003e \u003cp\u003eEric Bartoli (aka Enrico Orlandini).\u003c\/p\u003e \u003cp\u003eRetrospective.\u003c\/p\u003e \u003cp\u003eNotes.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 9 Days of Future Past.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eDystopian Future.\u003c\/p\u003e \u003cp\u003eRating Agencies.\u003c\/p\u003e \u003cp\u003eTrevor Cook (Oxford Global Partners).\u003c\/p\u003e \u003cp\u003ePatricia Cornwell v. Anchin, Block \u0026amp; Anchin.\u003c\/p\u003e \u003cp\u003eDerivatives.\u003c\/p\u003e \u003cp\u003eHuang Guangyu.\u003c\/p\u003e \u003cp\u003eGalleon Group Hedge Fund.\u003c\/p\u003e \u003cp\u003eJerome Kerviel.\u003c\/p\u003e \u003cp\u003eKenneth Lewis.\u003c\/p\u003e \u003cp\u003eSemion Mogilevich.\u003c\/p\u003e \u003cp\u003eSean David Morton.\u003c\/p\u003e \u003cp\u003eRebecca Parrett.\u003c\/p\u003e \u003cp\u003eGoldman Sachs.\u003c\/p\u003e \u003cp\u003eMarcus Schrenker.\u003c\/p\u003e \u003cp\u003eR. Allen Stanford.\u003c\/p\u003e \u003cp\u003eStructured Products.\u003c\/p\u003e \u003cp\u003eWeizhen Tang.\u003c\/p\u003e \u003cp\u003eDouglas F. Vaughan.\u003c\/p\u003e \u003cp\u003eDystopian Past.\u003c\/p\u003e \u003cp\u003eIn Their Own Words.\u003c\/p\u003e \u003cp\u003eLance Poulsen.\u003c\/p\u003e \u003cp\u003eRichard Scrushy.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eChapter 10 The Warrior's Path.\u003c\/b\u003e\u003c\/p\u003e \u003cp\u003eThe Endless Struggle.\u003c\/p\u003e \u003cp\u003eAppendix A Frequently Used Abbreviations.\u003c\/p\u003e \u003cp\u003eAbout the Author.\u003c\/p\u003e \u003cp\u003eIndex.\u003c\/p\u003e \u003cp\u003e\u003cb\u003eLOUIS L. STRANEY\u003c\/b\u003e spent twenty-four years as a senior manager in the financial services industry, including a four-year tenure at the director level with Smith Barney. In 2007, he created Arbitration Insight, LLC, through which he currently provides expert witness and consulting services for securities- and commodities-related disputes. He has published articles in law journals and a self-study course on securities fraud for the Association of Certified Fraud Examiners (ACFE), where he provides training and is a regular speaker at national and local conferences and events.\u003c\/p\u003e  \u003cp\u003eWith reasonable care and insight, becoming a victim of securities fraud is ­preventable. Drawing from the author’s three decades of experience on Wall Street, \u003ci\u003eSecurities Fraud\u003c\/i\u003e presents a strong line of defense for detection and ­prevention of the many forms of this criminal practice.\u003c\/p\u003e\u003cp\u003e \u003c\/p\u003e\u003cp\u003eBy challenging classic fraud theories and introducing new concepts such as the “collarless” environment, this first complete guide to securities and investment fraud identifies red flags and practical methods investors and organizations can use to detect and prevent fraudulent behavior. The two-dimensional fraud triangle is expanded to a multidimensional theme with guidance on dismantling information “silos” that allow fraudsters to conceal their activities.  \u003c\/p\u003e\u003cp\u003eBeginning with an overview of the evolution of securities regulation and the devastating impact of securities fraud, the book includes lessons learned from the author’s interviews with individuals accused or convicted of securities fraud and explores:  \u003c\/p\u003e\u003cul\u003e\n\u003cli\u003eThe most common securities and devices used in fraudulent acts\u003c\/li\u003e \u003cli\u003eCarlo Ponzi, his legacy, and his fraudster descendants\u003c\/li\u003e \u003cli\u003eWhy the line between securities fraud heroes and villains is often blurred \u003c\/li\u003e \u003cli\u003eThe four categories of victims\u003c\/li\u003e \u003cli\u003eThe early stage developments that require extra vigilance\u003c\/li\u003e \u003cli\u003eInvestment fraud issues and challenges facing countries such as Canada\u003c\/li\u003e \u003cli\u003eTough questions to ask before establishing an investment relationship\u003c\/li\u003e \u003cli\u003eMajor securities statutes and regulatory guidelines\u003c\/li\u003e\n\u003c\/ul\u003e \u003cp\u003eWritten in straightforward, no-nonsense language for financial services managers and executives, auditors, accountants, accounting managers, and security professionals, \u003ci\u003eSecurities Fraud’s\u003c\/i\u003e goal is for your business to become less a victim of securities fraud and more an agent of change in detecting and protecting against investment misconduct and securities fraud.\u003c\/p\u003e","brand":"Wiley","offers":[{"title":"Default Title","offer_id":47989998387429,"sku":"NP9780470601570","price":75.0,"currency_code":"USD","in_stock":false}],"thumbnail_url":"\/\/cdn.shopify.com\/s\/files\/1\/1842\/7735\/files\/9780470601570.jpg?v=1761786160","url":"https:\/\/k12savings.com\/es\/products\/securities-fraud-isbn-9780470601570","provider":"K12savings","version":"1.0","type":"link"}