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Securities Fraud: more books (100)

Card fraud: discover the possibilities. (credit card)(includes related article): An article from: Security Management by Barry Masuda, 1992-12-01

E-Business Fraud Fighters Unite.(Brief Article): An article from: Security Management by Peter Piazza, 2001-05-01

Guarding against cults. (cults involved in financial fraud): An article from: Security Management by Larry Kahaner, 1991-03-01

401(k) Suits follow securities fraud litigation. (Specialty Market Report).: An article from: National Underwriter Property & Casualty-Risk & Benefits Management by Joseph P. Monteleene, 2002-02-25

Unhealthy business. (health insurance fraud): An article from: Security Management by Gregory W. Anderson, 1990-08-01

Red River redux.(Whispers)(Securities fraud case against Arkansas Development Finance Authority): An article from: Arkansas Business

A civil attack on fraud.: An article from: Security Management by Don L. Hubbard, Brian M. Carroll, 1998-01-01

Costly callers: prosecuting voice mail fraud. (communication security): An article from: Security Management by William J. Cook, 1991-07-01

Putting a claim on insurance fraud. (Investigations): An article from: Security Management by Edmund J. Pankau, Frank E. Krzeszowski, 1993-07-01

Abandonment of the Private Right of Action for Aiding and Abetting Securities Fraud|staff Report on Private Securities Litigation; Hearing by United States. Congress. Senate., 2010-01-19

Disturbing news about nest eggs. (preventing pension fraud by conducting search of public records): An article from: Security Management by Edmund J. Pankau, 1994-08-01

Analytics in Security and Fraud Management by Abhishek Kumar, 2008-04-18

The paper chase. (investigating fraud): An article from: Security Management by James D. Quickstad, 1996-02-01

Investigative Operations: Use of Covert Testing to Identify Security Vulnerabilities and Fraud, Waste, and Abuse.: An article from: General Accounting Office Reports & Testimony by Gale Reference Team, 2008-01-01

lists with details

BW Online | March 26, 2001 | This Crash Won't Make Lawyers Rich
Chart Judges Are Tossing Out More securities fraud Cases The decline of securitiesfraudclass actions is a huge relief to the business community.
http://www.businessweek.com/magazine/content/01_13/b3725130.htm

Extractions: Latest Issue Magazine Search Special Reports ... News Headlines GETTING IN Full-Time MBA New Full-Time MBA Search Full-Time MBA Comparator ROI Calculator Part-Time MBA ... Profiles New Part-Time MBA Search Part-Time MBA Comparator Distance MBA Profiles New Executive MBA EMBA Search EMBA Comparator Exec Ed ... GMAT Prep B-SCHOOL LIFE MBA Journals Reading List B-School Videos CAREER MOVES Career Advice Company Research Who's Hiring VC People Finder ... Careers Main NEWS News Archive Career Strategies For Managers Work Life ... Who's Hiring New Company Research Compare Salaries Compare Living Costs Exec MBA Search ... Sign-Up The stock market is plunging, investors have lost more than $3 trillion, and every day a new company announces an unexpected disaster. So you might think that William S. Lerach, Melvyn I. Weiss, and other lawyers who make a living suing corporations that have suffered sudden stock price drops would be uncorking the champagne, tossing confetti, and putting on their party hats right about now.
JOLT: Notes
2002 UCLA JL Tech. Notes 28. securities fraud, Market Manipulation,and the Internet by Christine Souhrada. securities fraud The
http://www.lawtechjournal.com/notes/2002/28_020829_souhrada.php

Extractions: by Christine Souhrada Securities Fraud: The greater accessibility of the internet has brought a number of benefits to investors: real-time access to company information, and less expensive stock trades through on-line brokers (just to name two). However, the internet has also proven to be an effective tool for perpetrating securities fraud. The types investment opportunities that have been fraudulently offered over the internet run a spectrum of business enterprises that seem to be limited only by a perpetrator's imagination. Such securities offerings have been made in everything from transactions in foreign currency and investments in virtual (on-line) casinos , to securities in Costa Rican coconut plantations and eel farms . Almost every conceivable communication method offered by the internet has been used to defraud investors including unsolicited "spam" e-mail, web pages, web discussion forums, chat rooms, news groups, and on-line news letters. It has been estimated that internet-related stock fraud is the second most common form of investment fraud, costing investors approximately $10 billion per year.
JOLT: Notes
securities fraud, Market Manipulation, and the Internet by Christine Souhrada Since the internet became popular, it has proven itself to be an effective
http://www.lawtechjournal.com/notes.php

Extractions: by Isaac Ben Simon - More and more people are taking care of their basic legal matters themselves using online legal resources. Among them are Nolo.com, a site that distributes the popular do-it-yourself legal books, Findlaw.com, a site that offers legal news and information, and LegalZoom.com, a site that offers routine legal processes and forms. by Sheila Rabizadeh - The internet has presented the problem of setting the bounds of personal jurisdiction in a world of virtual space without boundaries. In order to establish boundaries, one significant factor used by courts is whether the site can be classified as "interactive" or "passive." This distinction is less than clear cut and such criteria will inevitably continue to be changed and revised as technology continues to expand and thus bring forth more complexities to be addressed.
Enron Watchdog: Home
the Private Securities Litigation Reform Act, making it difficult or impossibleto sue accountants or companies for most securities fraud violations.
http://www.enronwatchdog.org/topreforms/topreforms5.html

Extractions: "Top Reforms Needed" Despite the lessons of the 1980s savings and loan debacle, Congress overrode a Presidential veto to enact 1995 legislation, the Private Securities Litigation Reform Act, making it difficult or impossible to sue accountants or companies for most securities fraud violations. Congress should repeal the PLSRA and 1998 legislation expanding it, the Securities Litigation Uniform Standards Act (SLUSA). These bills diminish the legal threat against corporate wrongdoers and their coconspirators, particularly their accountants. The bills make it harder for victims to go to court, build a case once in court, and recover damages, even if they win. As the distinguished securities law Professor John Coffee of Columbia Law School testified in December: "... the Enron episode and the general increase in accounting restatements suggests that the SEC may not be winning its war against accounting irregularities. What could explain this apparent decline in the quality of financial reporting? A good case can be made that both (1) the legal threat confronting the auditor has been sharply reduced over recent years by a series of recent judicial and legislative developments, and (2) the incentives for the auditor in acquiesce in questionable accounting practices have grown, as the nature of the industry has changed." (Senate Commerce Committee, 18 December 2001)
FINANCIAL PLANNER ARRAIGNED FOR SECURITIES FRAUD AND LARCENY
FINANCIAL PLANNER ARRAIGNED FOR securities fraud AND LARCENY. SpitzerCharges Former Monroe County Man For Stealing Nearly $150,000.
http://www.oag.state.ny.us/press/2002/jul/jul24a_02.html

Extractions: July 24, 2002 FINANCIAL PLANNER ARRAIGNED FOR SECURITIES FRAUD AND LARCENY Spitzer Charges Former Monroe County Man For Stealing Nearly $150,000 Attorney General Eliot Spitzer announced today that a former Monroe County insurance agent and financial consultant was arraigned on felony charges that he defrauded an elderly man out of nearly $150,000. Maurice C. Bartholomay, 40 - formerly of 43 Constitution Circle, Rochester and now residing in Slidell, Louisiana - was charged with Securities Fraud, a class E felony, and Grand Larceny, a class C felony. The defendant entered a not guilty plea before Town of Gates Justice John Pisaturo and was released on $10,000 cash bail. "Aggressive enforcement of securities laws will help restore investor confidence that today is sadly lacking," Spitzer said. "This case is especially egregious because it involves the complete abuse of trust a senior citizen placed in his financial advisor." According to court papers, between February 1999 and January 2001, Bartholomay persuaded his victim to cash in secure investments, including life insurance policies and savings bonds, and to invest the money with Bartholomay. Bartholomay promised that he could secure a better rate of return for his victim and he assured the elderly Gates man that the investments were "guaranteed."
Twincities.com - Your Twin Cities Everything Guide
Former Dayton's exec in Kline fraud Federal prosecutors charged former Dayton's departmentstore executive Marvin Goldstein with securities fraud Thursday for
http://www.twincities.com/mld/twincities/business/

Extractions: MORE LOCAL NEWS Wisconsin bank buys Liberty State - 03:01 AM CDT Peace dividend might be elusive - 03:01 AM CDT Retail sales in the tank - 03:01 AM CDT Target warns on first-quarter outcome because of February, March results - 03:01 AM CDT EARNINGS: Supervalu's 4Q earnings nearly double - 03:01 AM CDT - 03:01 AM CDT
Public Citizen | Securities Fraud: Enron Scandal - Securities Fraud: Enron Scand
Take Action Publications About Congress Watch Contact Us securities fraudEnron Scandal. Click here to view Public Citizen's Enron Information Center.
http://www.citizen.org/congress/civjus/sf_enron/index.cfm
FindLaw: To Bring A Federal Securities Fraud Action, Must An Investor, Before A
To bring a federal securities fraud action, must an investor, before a stock purchase,actually take time to read the prospectus that contains fraudulent
http://biz.findlaw.com/business_commercial/legal/source/faqs/faq455.html

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CA Secretary Of State - Vote96 - Analysis Of Proposition 211
sale of the security by others or (2) affect the price of the security.These illegal activities are known as securities fraud.
http://vote96.ss.ca.gov/Vote96/html/BP/211analysis.htm

Extractions: Text of Proposed Law This - Argument in Favor Analysis of Proposition 211 by the Legislative Analyst PROPOSAL Many Californians contribute to private and public pension and retirement funds that invest in securities (stocks and bonds). In addition, many Californians individually invest their retirement savings or other assets in such securities. To help protect investors, current law prohibits people from making false or misleading statements or omitting facts which (1) influence the purchase or sale of the security by others or (2) affect the price of the security. These illegal activities are known as securities fraud. The measure makes various changes regarding fraud with respect particularly to retirement savings (as defined by the measure). It also would make it more difficult to change state laws concerning attorney-client fee agreements in all types of cases. Prohibited Conduct. Current law regarding securities fraud applies to people buying or selling a security (such as a broker). For securities fraud regarding retirement savings, the measure broadens the law by applying it to any person involved in the buying or selling of securities (such as accountants or lawyers). (The measure exempts government officials from this provision.)
CollegeSports.com - Football
QB, FSU Coach's Son Indicted Brian Burgdorf and R. Stephen Bowden are accused ofbeing involved in a securities fraud conspiracy. Feb 3, 2003. BIRMINGHAM, Ala.
http://www.collegesports.com/sports/m-footbl/stories/020303aad.html

Extractions: Pick Your School The ACC Air Force Akron Arizona Arizona St. Army Baylor Big 12 Boston College Bowling Green Butler California Central Michigan Charlotte Clemson Cleveland St. Colorado Creighton Denver Duquesne Fairfield Florida Atlantic Florida State Fresno State George Washington Georgia Gonzaga Houston Illinois Illinois Chicago Iowa State Jacksonville Johns Hopkins Kansas State Kentucky Lafayette Louisville Loyola Marymount Maryland Massachusetts Memphis Miami (FL) Michigan State MSU Photo Shop Missouri Ole Miss Mount St. Mary's Nevada North Carolina NC State Northern Colorado Northwestern Notre Dame Oklahoma Oklahoma State Old Dominion Oregon Oregon State Pac 10 Pennsylvania Portland State Providence Purdue Quinnipiac Richmond Sacred Heart Saint Louis Saint Mary's Samford San Diego State Santa Clara Siena South Carolina SE Missouri St Southern Illinois Stephen F. Austin
President Bush Signs The Corporate Responsibility Act Of 2002 - RIA
felony with a maximum 10year sentence for the destruction of certain key documentsas well as an increase in the maximum penalty for securities fraud to 25
http://www.riahome.com/newlaw/remarks.asp

Extractions: winwidth = 300; // width of the new window winheight = 300; // height of the new window winleft = (screen.width / 2) - (winwidth / 2); // center the window right to left wintop = (screen.height / 2) - (winheight / 2); // center the window top to bottom // these values get inserted into the features parameter of the window.open command window.open("/des02/flash/200303Contest/TaxRelief.html","","width=300,height=300,location=0,menubar=0,resizable=0,scrollbars=0,status=0,titlebar=0,toolbar=0,hotkeys=0,screenx=" + winleft + ",screeny=" + wintop + ",left=" + winleft + ",top=" + wintop); Home Online store Tax Research President Bush today signed legislation that establishes new, stronger penalties for corporate malfeasance, an SEC-controlled oversight board for the accounting industry, and new rules for corporate executives and board members. Declaring corporate corruption to be, along with the events of September 11, recession, and unemployment, one of the recent sudden challenges to the U.S. economy, President Bush today signed into law the Corporate Responsibility Act of 2002, which he declared to be the most far-reaching reform of American business practices since the time of Franklin Delano Roosevelt.
Press Releases: Office Of The Kansas Securities Commissioner
2002. December 10, 2002 $1 Million Oil and Gas Scheme Sends Wichita Man to Prison;October 28, 2002 Harsher Criminal Penalties Proposed for securities fraud;
http://www.securities.state.ks.us/press.html

Extractions: Search this Site Obtain public records from the Kansas Securities Commissioner News from the SEC Top stories from NASAA March 18, 2003: Securities License Revoked for Lawrence Insurance Agent December 10, 2002: $1 Million Oil and Gas Scheme Sends Wichita Man to Prison October 28, 2002: Harsher Criminal Penalties Proposed for Securities Fraud October 23, 2002: Topeka Man Fined $28,500 for Companys Unregistered Stock October 17, 2002: Issuers of Viatical Investments Required to File Notice, Agents Required to Register and Pass Exams October 15, 2002: Texas Man Sentenced in Kansas Oil and Gas Securities Fraud September 27, 2002: Goodland Resident Found Guilty of Securities Fraud August 27, 2002: "Prime Bank" Investment Promoter Pleads Guilty August 26, 2002: Third-Annual List of "Top Ten" Investment Frauds Published July 31, 2002: Issuers of Viatical Investments Required to File Notice, Agents Required to Register and Pass Exams July 18, 2002: Moroccan Sentenced In Investment Scheme June 18, 2002:
Field News Press Release
today returned an indictment arising from an ongoing investigation involving Kmart,Inc., charging two Oakland County men with securities fraud, making false
http://www.fbi.gov/fieldnews/february/de022603.htm

Extractions: INDICTMENT CHARGES TWO IN MAKING FALSE STATEMENTS TO THE SEC A federal grand jury in Detroit today returned an indictment arising from an ongoing investigation involving Kmart, Inc., charging two Oakland County men with securities fraud, making false statements to the Securities and Exchange Commission ("SEC"), and conspiracy to commit those offenses, announced United States Attorney Jeffrey G. Collins and Willie T. Hulon, Special Agent in Charge of the Detroit FBI field office. Named in the three-count indictment were: Enio A. "Tony" Montini, Jr., 51, of Rochester Hills, a former senior vice president and general merchandise manager for Kmart, Inc; and Joseph A. Hofmeister, 52, of Lake Orion, a former divisional vice president of merchandising for Kmart. The indictment alleges that from November 2000 to about January 21, 2002, Montini and Hofmeister conspired with each other to improperly recognize, in the second quarter of 2001, a $42.3 million payment from one of its vendors, American Greetings [AG], when, as they well knew, that money was subject to repayment under certain circumstances and therefore could not be fully booked by Kmart in that quarter. According to the indictment, the defendants' false statements to Kmart's accounting and auditing divisions resulted in Kmart's filing, with the SEC, a quarterly report which was materially false in that it overstated Kmart's operating results by $42.3 million.
FBI Fugitive - Theodore Brian Schecter
CONSPIRACY TO COMMIT ODOMETER TAMPERING; ODOMETER TAMPERING; CONSPIRACY TO COMMITsecurities fraud; securities fraud; CONSPIRACY TO COMMIT MONEY LAUNDERING
http://www.fbi.gov/mostwant/fugitive/jan2003/janschecter.htm

Extractions: CONSPIRACY TO COMMIT ODOMETER TAMPERING; ODOMETER TAMPERING; CONSPIRACY TO COMMIT SECURITIES FRAUD; SECURITIES FRAUD; CONSPIRACY TO COMMIT MONEY LAUNDERING; MONEY LAUNDERING THEODORE BRIAN SCHECTER Aliases: Theodore B. Schecter, Mark Gowers, Lynn Johnson, Ted Schecter, Harold Schenker DESCRIPTION Dates of Birth Used: January 27, 1949; February 17, 1953 Hair: Brown Place of Birth: Maryland Eyes: Brown Height: 5'11" Sex: Male Weight: 180 pounds Race: White NCIC: Nationality: American Occupation: Wholesale Car Business Scars and Marks: Schecter has a scar on his forehead. Remarks: Schecter may have ties to Florida and West Virginia. CAUTION Theodore Brian Schecter is wanted for his participation in an interstate odometer rollback scheme which involved approximately 3,000 vehicles over a period of ten years. Schecter laundered approximately eleven million dollars through bank accounts in other people's names in an effort to conceal his role in the scheme. On August 8, 1997, a federal jury for the District of Maryland convicted Schecter of conspiracy to commit odometer fraud and securities fraud, various odometer tampering and securities fraud charges, conspiracy to commit money laundering, and various money laundering charges. On December 19, 1997, Schecter was scheduled to be sentenced on these charges. At that time, he was being monitored with an electric monitoring device. Although this device registered Schecter as being at home in Maryland on the morning of December 19, he failed to appear for sentencing as required and a warrant was issued for his arrest.
Philadelphia Inquirer | 03/20/2003 | Charges Of Fraud For Giant In Health
and two of its top executives were charged with securities fraud yesterday in ascheme federal officials say caused the company to overstate earnings by at
http://www.philly.com/mld/philly/business/5433395.htm

Extractions: Health-care giant HealthSouth Corp. and two of its top executives were charged with securities fraud yesterday in a scheme federal officials say caused the company to overstate earnings by at least $1.4 billion since 1999. "HealthSouth's fraud represents an appalling betrayal of investors," said Stephen M. Cutler, the Securities and Exchange Commission's head of enforcement. "HealthSouth's standard operating procedure was to manipulate the company's earnings to create the false impression that the company was meeting Wall Street's expectations." One of yesterday's charges was filed under the Sarbanes-Oxley Act, which Congress passed in the summer to crack down on corporate wrongdoing. Federal officials said they believed this was the first charge brought under the law.
Table Of Contents
Section 803 Debts Nondischargeable if Incurred in Violation of SecuritiesFraud Laws. Section 804 Statute of Limitations for securities fraud.
http://www.law.uc.edu/CCL/SOact/toc.html

Extractions: PUBLIC COMPANY ACCOUNTING OVERSIGHT BOARD Section 101 Establishment; Administrative Provisions Section 102 Registration with the Board Section 103 Auditing, Quality Control, and Independence Standards and Rules Section 104 Inspections of Registered Public Accounting Firms Section 105 Investigations and Disciplinary Proceedings Section 106 Foreign Public Accounting Firms Section 107 Commission Oversight of the Board Section 108 Accounting Standards Section 109 Funding TITLE II AUDITOR INDEPENDENCE Section 201 Services Outside the Scope of Practice of Auditors Section 202 Preapproval Requirements Section 203 Audit Partner Rotation Section 204 Auditor Reports to Audit Committees Section 205 Conforming Amendments Section 206 Conflicts of Interest Section 207 Study of Mandatory Rotation of Registered Public Accounting Firms Section 208 Commission Authority Section 209 Considerations by Appropriate State Regulatory Authorities TITLE III
Investigative Programs
securities fraud. The volatile and expanding nature of the securities industryhas made securities fraud a prime focus for experienced FBI Agents.
http://milwaukee.fbi.gov/programs.htm

Extractions: Training FINANCIAL CRIMES Financial Institution Fraud The Milwaukee Division investigates frauds perpetrated by bankers, businessmen, developers, real estate brokers, lawyers and others, against federally insured financial institutions in Wisconsin. The FBI also seeks to identify and prosecute other organized groups responsible for significant financial institution losses due to counterfeit checks and mortgage fraud. Economic Crimes The Milwaukee Division of the FBI investigates a wide variety of economic crimes. Our referrals for these investigations come from the public, from victims of criminal activity, and from concerned representatives of the securities industry and financial entities. In addition to large general fraud schemes involving use of the United States mail and/or interstate wires, economic crime matters include:
In Wake Of Enron, Consumer Groups Urge Congress To Restore Investor Confidence B
of the Enron debacle, consumer groups today urged Congress to amend a 1995 law thatrestricted investors' ability to sue for securities fraud and undermined
http://www.consumersunion.org/finance/securdc202.htm

Extractions: BY UPDATING 1995 PRIVATE SECURITIES LITIGATION LAW WASHINGTON, DC In light of the Enron debacle, consumer groups today urged Congress to amend a 1995 law that restricted investors' ability to sue for securities fraud and undermined the accountability of accountants, lawyers, and others associated with Enron. Consumers Union and Consumer Federation of America believe that the Private Securities Litigation Reform Act (PSLRA) may have helped pave the way for the Enron disaster. "This law weakened the threat of liability for securities fraud to the point that it may have contributed to the lack of oversight of Enron," said Sally Greenberg, Consumers Union's senior product safety counsel. When Congress approved the PSLRA in 1995, President Clinton vetoed it, but lawmakers voted to override the veto. At the time consumer groups said that the law would make it much harder for individuals and pension funds to recover their financial losses from fraud "Congress was warned that this law would help protect financial swindlers from being held accountable," said Travis Plunkett, legislative director of Consumer Federation of America. "It diminished the legal threat that helped keep auditors honest (Note: A CFA white paper on a plan to overhaul public audits is online at
Securities: Enforcement Section
The iSEC Unit was created in April 2000 to combat the exponential growth ofsecurities fraud on the Internet. Types of Internet securities fraud.
http://www.state.ma.us/sec/sct/sctenf/enfidx.htm

Extractions: Internet Securities Enforcement and Compliance Unit ( i SEC) Overview The i SEC Unit was created in April 2000 to combat the exponential growth of securities fraud on the Internet. The Unit investigates and brings cases on Internet securities fraud. Its resources are also utilized in investigating traditional securities cases that increasingly have an Internet component. The i SEC aims to protect investors by 1) reducing the number of websites offering and selling fraudulent securities and 2) educating investors so that they can recognize scams and safely navigate around securities fraud on the Internet. The goal is to eliminate frauds originating in or operating out of Massachusetts as well as investigating any Internet securities fraud brought to our attention by the public. The
Corzine Throws Down Gauntlet On Wall St. Fraud=TheHill.com=
So far, Bush has preserved his reputation for fairness in dealing withsecurities fraud issues. But as the number of aggrieved investors
http://www.hillnews.com/morris/021203.aspx

Extractions: FEBRUARY 12, 2003 Dick Morris The Political Life Corzine throws down gauntlet on Wall St. fraud Noting that, according to the General Accounting Office, 64 percent of arbitration awards in securities cases go unpaid, Corzine asked what Donaldson was planning to do to restore the confidence of small investors who have been swindled by Wall Street con artists. The New Jersey senator signaled future Democratic focus on the arbitrators who sit in judgment when small investors try to get their money back. This year will be a Republican year. Dominated by the likely military action looming in Iraq, focused on the need to facedown North Korea without panicking the dictator whose finger is probably on the nuclear button, and obsessed with the need to protect our homeland, the American public will back Bush fully and completely.

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