1. Securities Fraud And Investor Protection Resource Center Addressing information securities law issues with a special focus on small investors rights against Category Society Law Legal Information Business Law Securities...... securities fraud Investor Protection Resource Center Sponsored by HarryS. Miller, Esq. Please sign our Guestbook . What is securities fraud? http://www.securitieslaw.com/

Duties of Stockbrokers to Their Customers Common Complaints Against Stockbrokers Legal Causes of Action Against Brokers and Brokerage Firms The Arbitration Process ... Information for Attorneys W elcome to S ecurities L aw.com S ecurities F I nvestor P rotection R esource C enter S ponsored by Harry S. Miller, Esq. P lease sign our Guestbook W hat is securities fraud? What are your rights as an investor and what duties does your broker owe to you? How do you know if you have been defrauded by your stockbroker or investment advisor? What can you do about it, if you have been subjected to stockbroker fraud? You will find information at this web site which will assist you in addressing these questions and others which may arise in connection with improper investments and stockbroker/customer disputes. M ost investment losses are the result of market forces, trends and factors which have nothing to do with securities fraud. Stockbrokers do not have a crystal ball and they are not guarantors of investments. But if your losses have been the result of wrongful action or fraud, you ought to know because you may be able to do something about it and recover your losses. The information at this site will hopefully assist you in distinguishing between frivolous claims and claims with merit, sour grapes and securities fraud. Finally, this site should help you understand the securities arbitration process and which claims may be appropriate or eligible for arbitration. F ollowing are further resources that may assist you in finding pertinent rules and regulations governing securities trading practices and help you learn more about securities fraud and your rights as an investor.

2. Fool.com: How To Avoid Securities Fraud (Special) February 23, 2000 An introduction to securities fraud, fraud on the Internet, Ponzi and pyramid schemes, penny stock fraud, and tips for prevention. http://www.fool.com/specials/2000/sp000223fraud.htm

CHOOSE A BROKER Search: Quotes: Today's Headlines 401(k) 60-Second Guides Advisors ... About Us/Press Securities Fraud How to Avoid the Cons Email this page Format for printing Become a Fool! Reuse/Reprint Securities Fraud Introduction Securities Fraud and the Internet Bogus Offerings Ponzi and Pyramid Schemes ... Uh-oh, I Got Scammed Related Links Ask FoolU: Penny Stocks Discussion Boards Financial Scams February 23, 2000 "Securities fraud." To many people the term conjures up images of the late 1980s when then-United States Attorney Rudolph Guiliani held press conferences announcing the arrests of Dennis Levine, Ivan Boesky, and Michael Milken. In the 1987 film Wall Street, Gordon Gekko personified the Levines, Boeskys, and Milkens, saying, "I'm talking about liquid. Rich enough to have your own jet. Rich enough not to waste time. Fifty, a hundred million dollars, buddy. A player. Or nothing. If something's worth doing, it's worth doing for money." And, evidently, worth doing even if it breaks the law. These images create the perception that securities fraud is limited to million-dollar transactions and only involves people who drive Ferraris and belong to exclusive country clubs. The reality is that since the Crash of 1929, securities fraud has affected the average investor more and more. Retirees, single parents, and people saving for their children's educations lose their life savings to fly-by-night con men Gordon Gekkos in cheap suits. What is securities fraud? In most cases, it's nothing more than stealing. Sure, the securities laws contain a more technical definition. But when investors are enticed to part with their money based on untrue statements, it's securities fraud and it's illegal. So, how does a Fool avoid becoming a victim of securities fraud?

3. Stanford Securities Class Action Clearinghouse regarding the merits of class action securities fraud litigation, certain patterns appear to characterize litigation http://securities.stanford.edu/

Last update: April 10, 2003 IMPORTANT INFORMATION Index of Filings News and Press Releases Filings ... Register CONTACTING US ABOUT: Website content inquires How to submit documents to the Clearinghouse NOTES The Securities Class Action Clearinghouse takes no position regarding the merits of individual claims. All editorial and content decisions relating to the operation of this site are the exclusive responsibility of Stanford Law School. Cornerstone Research provides financial support and operational assistance toward the maintenance of this site, all subject to the supervision and control of Stanford Law School. More information regarding Cornerstone Research is available at www.cornerstone.com

4. Fool.com: Securities Fraud (Special) February 23, 2000 We provide useful information to investors that will enable them to effectively identify, fight and end fraud. Each section contains basic information about securities and stock fraud as well as links to additional resources for investors. http://www.fool.com/specials/2000/sp000223fraud1.htm

CHOOSE A BROKER Search: Quotes: Today's Headlines 401(k) 60-Second Guides Advisors ... About Us/Press Securities Fraud Email this page Format for printing Become a Fool! Reuse/Reprint Securities Fraud Introduction Securities Fraud and the Internet Bogus Offerings Ponzi and Pyramid Schemes ... Uh-oh, I Got Scammed Related Links Ask FoolU: Penny Stocks Discussion Boards Financial Scams By Jay Perlman (TMF Jay) February 23, 2000 "The pernicious art of Stock-jobbing hath, of late, so wholly perverted the End and Design of Companies and Corporations, erected for the introducing, or carrying on, of Manufacturers, to the private Profit of the first Projectors, that the Privileges granted to them have, commonly, been made no other Use of, by the First Procurers and subscribers, but to sell again, with Advantage, to ignorant Men, drawn in by the Reputation, falsely raised, and artfully spread concerning the thriving State of their Stock." Huh? The above is from a 1697 report by the British Parliament that was the basis of a law enacted to combat stock manipulation. Four hundred years earlier, in 1285, London passed an ordinance requiring that stockbrokers be licensed. Between 1834 and 1836, two French bankers bribed optical telegraph operators (the optical telegraph was the predecessor to the modern telegraph machine) to transmit false information about stocks, allowing them to profit at the expense of unwitting investors. Securities fraud in the United States had its real coming out party in 1869 when Jay Gould, James Fiske, and Daniel Drew attempted to corner the gold market, causing a sudden drop in gold prices and triggering "Black Friday," one of the biggest financial panics in American history.

5. EndFraud.Com -- Help End Securities Fraud Today Dedicated to the thousands of investors who fall victim to securities fraud every year.Category Society Law Legal Information Business Law Securities......Each section contains basic information about securities and stockfraud as well as links to additional resources for investors. http://www.endfraud.com/

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6. Securities Fraud Attorneys - Shepherd, Smith & Bebel, P.C. Houston attorneys, offering service and online information for stock fraud and securities arbitration cases.Category Society Law Consumer Protection United States Texas......Securities attorneys handle stock fraud and securitiesarbitration cases. Offering free consultations. http://www.stockbroker-fraud.com/

or call "We have represented thousands of investors nationwide and recovered millions of dollars from stockbrokers and their firms. Our ten attorneys have handled more claims against brokerage firms than any other law firm in the U.S." - William S. Shepherd, Founder of the Firm A firm of attorneys - former securities regulators and/or licensed officers and representatives of securities firms - who are devoted to assisting investors nationwide to recover losses caused by inappropriate actions of stock brokers and their firms. We offer a free consultation to those who locate us via our Website. The site contains summaries of news about the scandals involving Merrill Lynch and J.P. Morgan and Salomon Smith Barney . Click here to learn about the status of IPO lawsuits. WHAT IS BROKER FRAUD? Broker fraud " includes many types of wrongdoing: misrepresentations, churning, unsuitable investments and other acts of greed, incompetence and negligence by stockbrokers, financial planners, and others in the securities industry. If you want to learn about common forms of broker misconduct click here.

7. Arbitration, Securities And Investment Fraud Lawyer Securities Arbitration and litigation. Claims against stockbrokers for securities fraud, churning, Category Society Issues Fraud Investment......Securities Arbitration. Stock broker fraud. Practice limited to the litigationof securities related matters. Have you been the victim of securities fraud? http://securitiesarbitrations.com/

Have you been the victim of securities fraud? Recover losses from your broker due to churning or excessive activity, the sale of unsuitable investments, false statements and omissions in connection with the sale of securities, breach of fiduciary duty, or negligence. Many cases accepted on a contingent fee basis. See Contact us for a free initial consultation. Home About your broker Warning Signs Claims against brokers ... Site maintained by Legal Internet Solutions Incorporated

8. Securities Fraud And Investor Protection Resource Center Duties of Stockbrokers to Their Customers Common Complaints Against Stockbrokers Legal Causes of Action Against Brokers and Brokerage Firms The Arbitration Process Calculation of Damages Timing Issues, Eligibility and Statutes of Limitation How to http://redirect-west.inktomi.com/click?u=http://www.securitieslaw.com/&y=0212E2B

9. Introduction To Securities Fraud of these rules, particularly through various deceptive actions and schemes to cheator take advantage of investors, is commonly known as securities fraud. http://www.securitieslaw.com/introduction.html

Duties of Stockbrokers to Their Customers Common Complaints against Stockbrokers Legal Causes of Action against Brokers and Brokerage Firms The Arbitration Process ... Information for Attorneys H ave you been the victim of bad investment advice? D id your stockbroker recommend risky investments without explaining the risks? D id your stockbroker make trades without your understanding or authorization? D id your stockbroker excessively trade your account? Securities investing and trading is carefully regulated by rules and laws for the protection of public investors. The violation of these rules, particularly through various deceptive actions and schemes to cheat or take advantage of investors, is commonly known as securities fraud. If you believe that you may have been a victim of securities fraud, you have certain rights which you should be aware of, rights which may provide you an opportunity to recover your losses from your stockbroker or brokerage firm. Most investors who have been defrauded do not know what happened to their investments until it is too late. But even after the losses have occurred, the law provides a mechanism for investors to recover their losses which were caused by a stockbroker's misrepresentations or abuse of the account. Federal and state laws provide a legal remedy for defrauded investors to recover their losses. Investors may also be entitled to compensation for the loss of income that their investments should have been generating, interest on the losses and legal fees.

10. Wired News: SEC Targets Securities Fraud Online investors have proven just as susceptible as their analog brethren to falling for a phony securities pitch. The SEC is using the Net to hunt down the perpetrators. Wired News http://www.wired.com/news/business/0,1367,19654,00.html

Welcome to Wired News. Skip directly to: Search Box Section Navigation Content Search: Wired News Animations Wired Magazine HotBot (the Web) SEC Targets Securities Fraud Page 1 of 1 02:20 PM May. 12, 1999 PT Federal securities regulators are going after online fraud in a big way, and report that they've already saved would-be investors from losing any money. Some of the offerings guaranteed "outrageous or baseless" claims, according the Securities and Exchange Commission. Promises of annual profits exceeding 100 percent of the original investment were made in some cases, the SEC said in a news release. Story Tools Today's Top 5 Stories Iraqi Currency Hot on EBay Reporters Flout Cuban Censorship IQ Test for Rebuilding Iraqi Net The Lab That Fell to Earth ... Unlocking Alzheimer's Mysteries The sweep, which targets the online sale of securities offerings, differs from previous operations that went after stock promoters. The SEC has acknowledged that its knees are buckling from the sheer weight of policing the Internet for fraud. Still, the Web offers regulators an easier way to catch wrongdoers who run their scams online rather than by telephone or on paper. "If [scams] are not conducted online, they're [often] in fact invisible to us," said Richard Walker, the head of the enforcement division.

11. Complaints? What To Do Website for the Washington State Department of Financial Institutions http://www.sec.gov/enforce/comctr.htm

Home Fast Answers Site Map About the SEC ... Divisions SEC Complaint Center Welcome to the SEC Complaint Center. The Division of Enforcement and the Office of Investor Education and Assistance created the SEC Complaint Center to make sure that the concerns and problems of individual investors are known throughout the SEC and considered when we take action. We welcome hearing from you because your complaint may be the one that alerts us to a bad broker or firm, an unfair practice in the securities industry that needs to be changed, or the latest Internet fraud. How Do I File a Complaint? There are several ways to file a complaint: You can file a complaint right now, by using one of our online complaint forms You can print out a form or write us a letter and mail or fax it to us. Our address is: SEC Complaint Center 450 Fifth Street, NW Washington, D.C. 20549-0213 Fax: 202-942-9634 You can forward spam (junk email) or copies of message board postings to enforcement@sec.gov . Please do not use this email box for general complaints or questions. Whistleblower Protection: If you work for a publicly traded company and have been fired, demoted, suspended, threatened, harassed, or discriminated against for reporting a potential shareholder fraud to a supervisor, federal regulator, or member of Congress, then please contact

12. Stanford Securities Class Action Clearinghouse - Articles & Papers 2000) Section 21D(b)(2) of PSLRA of 1995 Pleading securities fraud This sectionsustains that a complaint alleging securities fraud must state with http://securities.stanford.edu/research.html

Home Index of Filings News and Press Releases Filings ... Register Stanford Law School NUMBER OF DOCUMENTS: 14 SEARCH SECURITIES LAW REVIEW BRIEF ARTICLES ARTICLES IN OTHER WEBSITES ... Securities Class Action Settlements: An Empirical Analysis This study presents descriptive statistics of the most comprehensive database of settlements of securities class actions. By Mukesh Bajaj, Sumon C. Mazumdar and Atulya Sarin (Nov. 2000) Section 21D(b)(2) of PSLRA of 1995: Pleading Securities Fraud This section sustains that a complaint alleging securities fraud must "state with particularity facts giving rise to a strong inference that the defendant acted with the required state of mind." Analysis and presentation of the argument by Elliott J. Weiss, Charles E. Ares and James E. Rogers (Oct. 2000) The Disintermediation of Forward-Looking Disclosures "Disintermediation" is occurring in a broad range of industry sectors... This is a Practicing Law Institute Article written by Steven E. Bochner in the Corporate Law and Practice Course Handbook Series (Aug. 2000)

13. Bernstein Liebhard And Lifshitz New York City law firm concentrating on representing investors in securities fraud class actions. http://www.bernlieb.com/php3/index.php3

14. Securities Attorney securities fraud or an Abusive Stock BrokerWest Palm Beach http://www.securitiesattorney.com/

Attention Shareholders and Options Traders You may be able to recover investment losses pursuant to Federal and State Law via Securities Class Action Litigations or Securities Arbitrations and Individual Actions Click Here to Learn More About Potentially Recovering Losses From: A Publicly Traded Company or An Abusive Stock Broker Contact us if you've been victimized by Securities Fraud or an Abusive Stock Broker and want an opportunity to recover your losses. or Fill in the Fraud Reporting Form or Fill in the Broker Abuse Report CLICK TO CONTACT US The Law Office Of Leo W. Desmond Thirteen Main Street, Suite Four Sparta, New Jersey 07871 Phone 973-726- Corporate Fraud Stock Broker Abuse Contact Us Fraud Reporting

15. Securities Fraud 97 Annual Report onOrganized Crime in Canada 1997 The Internet is now being used, on a small scale, for the promotion, issue, distribution and trading of securities. This environment will be difficult to regulate and may lead to an increase in securities fraud and manipulation. http://www.cisc.gc.ca/AnnualReport1997/Cisc1997en/fraud.htm

Annual Report onOrganized Crime in Canada SECURITIES FRAUD Highlights The Internet is now being used, on a small scale, for the promotion, issue, distribution and trading of securities. This environment will be difficult to regulate and may lead to an increase in securities fraud and manipulation. Current Situation R aising venture capital for small business is both expensive and difficult, particularly if the amount of capital required is small. Reports from the United States indicate that capital is now being raised by offering issues of shares over the Internet. A prospectus is posted and the shares are ordered, purchased and traded, all over the Internet. All of the transactions take place outside of the normal industry regulatory realm, therefore it is unclear how existing regulations and laws will be applied to them. I n the past, the markets most vulnerable to manipulation and fraud have been venture capital and over-the-counter markets. Increasing use of the Internet could provide another avenue for criminals and lead to an increase in market manipulation and fraud. Outlook Increasing fraud on the Canadian securities markets can have profound impact on the Canadian economy. Market surveillance, strong regulations and a strong law enforcement presence are critical in ensuring the stability of our financial markets. Increased use of the Internet in this regard will make both surveillance and regulation extremely difficult.

16. Securities Fraud Alert, Securities Fraud Alert office is currently involved in a number of separate securities fraud cases, one case has at least 8 known victims and http://www.ckfraud.org/securities.html

National Check Fraud Center Securities and Stock Fraud Alert Small-Cap Securities Fraud If you live outside the United States, you maybe approached by what we call a "scam boiler room operation" that will tell you just about anything to get you to buy. You will most likely be sent several flyers to your address from such places as Switzerland, Gibraltar, Hong Kong, and Panama. Don't be taken in by the location. The scam artist will even use phone and fax numbers going to those countries. However, the action is being directed from somewhere else. Unless you can verify who the company or broker is, do not buy from them. Our office is currently involved in a number of separate securities fraud cases, one case has at least 8 known victims and the another case has over 80. In each case, the victims were lied to and the information that they had received was contaminated with unverifiable information. Some will try to sell you even unregistered stock. The unknown broker-agent will use such terms as "TOP SECRET" and "INSIDE INFORMATION" to encourage you to buy NOW before it is too late. Securities Fraud Alert The National Check Fraud Center is currently involved in several securities fraud cases which has resulted in multi losses to investors worldwide. The following information has been complied from victims and our findings.

17. EndFraud.Com -- End Securities Fraud Today! Each section contains basic information about securities fraud as wellas links to additional resources. Site Map. What Is securities fraud. http://www.endfraud.com/fraud.html

Welcome to EndFraud.Com a website dedicated to the thousands of investors who are defrauded every year. Latest news from the EndFraud.Com Newswire: Our Mission: To provide useful information to investors that will enable them to effectively identify, fight and end securities fraud. Each section contains basic information about securities fraud as well as links to additional resources. Site Map What Is Securities Fraud How Do I Know If I Have Been Defrauded Laws Governing Securities Fraud What Can Be Done About Securities Fraud: Frequently Asked Questions About Class Actions What is a Class Action? How do I participate in a Class Action? Do I have to participate in a Class Action to benefit from a potential settlement or verdict? What are my obligations as a member of the class? What are the legal fees? What can I expect to get out of a Class Action lawsuit? Report Fraud! I want to report fraud or have a publicly held company investigated for potential fraud. EndFraud.Com will conduct a free investigation and let you know if you have a case. "Have You Heard"

18. The Real Steve Fishman Home Page Steven Fishman, a former Scientologist, was sued by the Church of Scientology after he revealed their securities fraud to Time magazine. Site includes his book Lonesome Squirrel in several formats. Newsgroup postings, links. http://www.xs4all.nl/~fishman/

Welcome to Steven Fishman's Home Page Contact STEVEN FISHMAN Last updated August 16, 1997 Page created by Pam Gibson Gibson Grafx Photos and other site content

19. Stumpp & Bond, LLP - The Law Offices Of Gary D. Stumpp And Adam M. Bond - Stumpp Specializing in investment fraud, stock fraud, securities fraud, commodities fraud. http://www.stumppbond.com

S TUMPP OND, LLP 170 B ROADWAY UITE N EW Y ORK, N EW Y ORK TELEPHONE: (212) 406-2300 FACSIMILE: (212) 406-2332 FIRM OVERVIEW AREAS OF PRACTICE MEMBER PROFILES CONTACT INFORMATION ... DIRECTIONS STEPS OF THE SUPREME COURT DUNN v. CFTC

20. Securities Fraud News From Attorneys Shepherd, Smith & Bebel News about misconduct in the financial industry. Our attorneyshandle stock fraud and securities arbitration cases. http://www.stockbroker-fraud.com/news.htm

We offer a free consultation to those who locate us via our Website! NEWS Lawsuits over IPOs to proceed Beaned in Boston - Regulators investigate Credit Suisse First Boston - New York Post story Ex-Salomon broker files arbitration claim on analyst Jack Grubman and Citicorp's Salomon Smith Barney - Reuters story Regulators announce $1.4 billion settlement with Wall Street ... State securities regulators highlight problems with day trading Chris Bebel discusses recent financial scandals Offices and Associates: New York, Washington D.C., Chicago, San Francisco, Orlando, Dallas, Houston, Phoenix, and Mexico City. Main Office: 1314 Texas Avenue, 21st Floor, Houston, Texas 77002 Tel. (713) 227-2400 - Fax. (713)227-7215

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