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Preface. <p>Introduction.</p> <p><b>Chapter 1 The Face of War.</b></p> <p>Cost of Defeat.</p> <p>Drawn and Quartered.</p> <p>Art and Fog of War.</p> <p>Origins.</p> <p>Human Capital.</p> <p>Notes.</p> <p><b>Chapter 2 Shared Interests.</b></p> <p>Trade Secrets.</p> <p>Shared Interests.</p> <p>Nation of Farmers.</p> <p>Statutory Foundations.</p> <p>Notes.</p> <p><b>Chapter 3 The Eleven.</b></p> <p>Notes.</p> <p><b>Chapter 4 Funding and Fraud.</b></p> <p>It Really Doesn't Matter.</p> <p>Securities? No. Securities Fraud? Yes!</p> <p>Montgomery to Manhattan.</p> <p>Promises, Promises.</p> <p>A Rotten Compromise.</p> <p>Common Stock – Uncommon Results.</p> <p>Read the Label.</p> <p>Financial Pergatory.</p> <p>An Evil Equation.</p> <p>Transition to Victimization.</p> <p>Notes.</p> <p><b>Chapter 5 Command and Control (C2).</b></p> <p>Absolutologist.</p> <p>By the Numbers.</p> <p>It Starts at the Top.</p> <p>Carlo “Charles” Ponzi.</p> <p>Robert Vesco.</p> <p>Robert E. Brennan.</p> <p>Michael de Guzman et al.</p> <p>Bernard L. Madoff.</p> <p>Notes.</p> <p><b>Chapter 6 Paid To Steal.</b></p> <p>At All Costs - Protect the Brand.</p> <p>Michael Holoday.</p> <p>Nick Leeson.</p> <p>Michael Milken.</p> <p>Robert L. Citron.</p> <p>Yanming.</p> <p>Notes.</p> <p><b>Chapter 7 Outside Inside.</b></p> <p>Investor Fraud.</p> <p>Anthony “Tino” De Angelis.</p> <p>Ivan Boesky.</p> <p>G. Foster Winans.</p> <p>Martha Stewart and Sam Waksal.</p> <p>Notes.</p> <p><b>Chapter 8 Misunderestimated.</b></p> <p>Advisor Fraud.</p> <p>Patterns.</p> <p>Jordan Belfort – Robert Brennan Incarnate.</p> <p>Frank Gruttadauria.</p> <p>Martin Frankel (or one of 12 other aliases).</p> <p>Captain Money - J. David Dominelli.</p> <p>Eric Bartoli (aka Enrico Orlandini).</p> <p>Retrospective.</p> <p>Notes.</p> <p><b>Chapter 9 Days of Future Past.</b></p> <p>Dystopian Future.</p> <p>Rating Agencies.</p> <p>Trevor Cook (Oxford Global Partners).</p> <p>Patricia Cornwell v. Anchin, Block & Anchin.</p> <p>Derivatives.</p> <p>Huang Guangyu.</p> <p>Galleon Group Hedge Fund.</p> <p>Jerome Kerviel.</p> <p>Kenneth Lewis.</p> <p>Semion Mogilevich.</p> <p>Sean David Morton.</p> <p>Rebecca Parrett.</p> <p>Goldman Sachs.</p> <p>Marcus Schrenker.</p> <p>R. Allen Stanford.</p> <p>Structured Products.</p> <p>Weizhen Tang.</p> <p>Douglas F. Vaughan.</p> <p>Dystopian Past.</p> <p>In Their Own Words.</p> <p>Lance Poulsen.</p> <p>Richard Scrushy.</p> <p><b>Chapter 10 The Warrior's Path.</b></p> <p>The Endless Struggle.</p> <p>Appendix A Frequently Used Abbreviations.</p> <p>About the Author.</p> <p>Index.</p>

<p><b>LOUIS L. STRANEY</b> 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.</p>

<p>With reasonable care and insight, becoming a victim of securities fraud is ­preventable. Drawing from the author’s three decades of experience on Wall Street, <i>Securities Fraud</i> presents a strong line of defense for detection and ­prevention of the many forms of this criminal practice.<p> <p>By 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. <p>Beginning 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: <ul><li>The most common securities and devices used in fraudulent acts</li> <li>Carlo Ponzi, his legacy, and his fraudster descendants</li> <li>Why the line between securities fraud heroes and villains is often blurred </li> <li>The four categories of victims</li> <li>The early stage developments that require extra vigilance</li> <li>Investment fraud issues and challenges facing countries such as Canada</li> <li>Tough questions to ask before establishing an investment relationship</li> <li>Major securities statutes and regulatory guidelines</li></ul> <p>Written in straightforward, no-nonsense language for financial services managers and executives, auditors, accountants, accounting managers, and security professionals, <i>Securities Fraud’s</i> 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.

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