Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme PDF Download

Author: United States. Securities and Exchange Commission. Office of Investigations
Publisher:
ISBN:
Category : Commercial crimes
Languages : en
Pages : 480

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Book Description

Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921868
Category : Biography & Autobiography
Languages : en
Pages : 477

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Book Description
Contents: (1) Results of the Invest.; (2) SEC Review of 2000 and 2001 Markopolos Complaints: (3) SEC 2004 OCIE Cause Exam. of Madoff; (4) SEC 2005 NERO Exam. of Madoff; (5) SEC 2006 Invest. of Markopolos Complaint; (6) Effect of Madoff¿s Stature and Reputation on SEC Exam.; (7) Allegations of Conflict of Interest from the Relationship between Eric Swanson and Shana Madoff; (8) Private Entities¿ Due Diligence Efforts Revealed Suspicious Activity about Madoff¿s Operations; (9) Potential Investors Relied upon the Fact That the SEC had Examined and Investigated Madoff in Making Decisions to Invest with Him; (10) Additional Complaints Received by the SEC re: Madoff; (11) Additional Exam. and Inspect. of Madoff¿s Firms by the SEC.

Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437921884
Category :
Languages : en
Pages : 22

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Book Description
This investigation did not find evidence that any SEC personnel who worked on an SEC exam. of Madoff Invest. Securities, LLC had any financial or other inappropriate connection with Bernard Madoff or the Madoff family that influenced the conduct of their exam. work. It also did not find that former SEC Assist. Dir. Eric Swanson's romantic relationship with Bernard Madoff¿s niece influenced the conduct of the SEC exam. of Madoff. The investigation did find, however, that the SEC received more than ample info. in the form of detailed and substantive complaints over the years to warrant a thorough and comprehensive exam. of Bernard Madoff and BMIS for operating a Ponzi scheme. A thorough and competent exam. was never performed. Illus.

Author:
Publisher:
ISBN:
Category : Governmental investigations
Languages : en
Pages : 22

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Author: Russell B. Turner
Publisher: Nova Science Publishers
ISBN: 9781616681654
Category : Investment advisors
Languages : en
Pages : 0

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Book Description
This title includes a book & CD-ROM. This book contains the fully-indexed text of the SEC investigation of the failure to uncover the Bernard Madoff Ponzi Scheme. The accompanying CD-ROM includes essential backup testimony and related reports.

Author: H. David Kotz
Publisher: DIANE Publishing
ISBN: 1437926517
Category : Biography & Autobiography
Languages : en
Pages : 23

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Book Description
Describes the procedures followed by the SEC Madoff investigation; the report issued; results of the Madoff investigation; details on the final report that describes the Office of Compliance Inspections and Examinations (OCIE) examination process and the numerous ¿lessons learned¿ from its analysis, with specific recommendations to improve OCIE¿s operations; and a report that analyzes ¿lessons learned¿ from the investigations conducted by the SEC¿s Enforcement Div. of Madoff and prescribes concrete recommendations for improvement within Enforcement.

Author: United States. Congress. Senate. Committee on Banking, Housing, and Urban Affairs
Publisher:
ISBN:
Category : Biography & Autobiography
Languages : en
Pages : 152

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Book Description

Author: Harry Markopolos
Publisher: John Wiley & Sons
ISBN: 0470919000
Category : Business & Economics
Languages : en
Pages : 382

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Book Description
Harry Markopolos and his team of financial sleuths discuss first-hand how they cracked the Madoff Ponzi scheme No One Would Listen is the thrilling story of how the Harry Markopolos, a little-known number cruncher from a Boston equity derivatives firm, and his investigative team uncovered Bernie Madoff's scam years before it made headlines, and how they desperately tried to warn the government, the industry, and the financial press. Page by page, Markopolos details his pursuit of the greatest financial criminal in history, and reveals the massive fraud, governmental incompetence, and criminal collusion that has changed thousands of lives forever-as well as the world's financial system. The only book to tell the story of Madoff's scam and the SEC's failings by those who saw both first hand Describes how Madoff was enabled by investors and fiduciaries alike Discusses how the SEC missed the red flags raised by Markopolos Despite repeated written and verbal warnings to the SEC by Harry Markopolos, Bernie Madoff was allowed to continue his operations. No One Would Listen paints a vivid portrait of Markopolos and his determined team of financial sleuths, and what impact Madoff's scam will have on financial markets and regulation for decades to come.

Author: Diana B. Henriques
Publisher: Oneworld Publications
ISBN: 9781851689033
Category : True Crime
Languages : en
Pages : 0

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Book Description
Based on award-winning reporter Diana Henriques' unprecedented access to Madoff, including extensive correspondence and his first interviews for publication since his arrest, "Bernie Madoff, The Wizard of Lies" is the ultimate true-life financial thriller.

Author: Bartholomew H. Chilton
Publisher: Us Independent Agencies and Commissions
ISBN:
Category : Business & Economics
Languages : en
Pages : 86

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Book Description
True stories of crime and punishment that will inform and educate anyone who wants to find out how to identify and avoid becoming entangled in an investment fraud.