Bromberg and Lowenfels on Securities Fraud & Commodities Fraud PDF Download

Author: Alan R. Bromberg
Publisher:
ISBN:
Category : Securities
Languages : en
Pages :

View

Book Description

Author: Jerry W. Markham
Publisher: Clark Boardman Callaghan
ISBN: 9780876325520
Category : Commodity exchanges
Languages : en
Pages : 0

View

Book Description
This treatise provides examination of the scope and intended application of the fraud, manipulation and trading practice prohibitions of the Commodity Exchange Act. It offers practitioners comprehensive treatment of specific types of fraud, prohibited trade practices, general standards, such as secondary liability and scienter, and many other topics.

Author: Louis L. Straney
Publisher: John Wiley & Sons
ISBN: 0470601574
Category : Business & Economics
Languages : en
Pages : 210

View

Book Description
The first complete, expert guide to securities and investment fraud Filled with expert guidance for detection and prevention of all kinds of securities fraud and investment misconduct, Securities Fraud 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. Begins with an overview of the evolution of securities regulation and the impact of securities fraud Offers real cases and examples which illustrate recurring themes and red flags Provides the first guide of its kind to offer a complete look at the various kinds of securities fraud and investment misconduct Securities Fraud 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.

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

View

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.

Author: Jesse Kornbluth
Publisher: William Morrow
ISBN:
Category : Biography & Autobiography
Languages : en
Pages : 408

View

Book Description
Miliken, Michael, stockbrokers - United States - biography, securities industry - United States. Corrupt practices.

Author: United States. Congress. Senate. Committee on Governmental Affairs. Permanent Subcommittee on Investigations
Publisher:
ISBN:
Category : Commodity exchanges
Languages : en
Pages : 368

View

Book Description

Author: Alan R. Bromberg
Publisher:
ISBN:
Category : Fraud
Languages : en
Pages : 1004

View

Book Description

Author: Stephen M. Kohn
Publisher: Rowman & Littlefield
ISBN: 0762774797
Category : Law
Languages : en
Pages : 355

View

Book Description
UPDATED IN MARCH 2013 to include the historic $104-million Bradley Birkenfeld whistleblower case and more! From the nation’s leading whistleblower attorney, comes the third edition of the first-ever consumer guide to whistleblowing. In The Whistleblower’s Handbook, Stephen Martin Kohn explains nearly all federal and state laws regarding whistleblowing. In the step-by-step bulk of the book, he also presents twenty-one rules for whistleblowers.

Author: Rafay, Abdul
Publisher: IGI Global
ISBN: 1799855694
Category : True Crime
Languages : en
Pages : 650

View

Book Description
Black money and financial crime are emerging global phenomena. During the last few decades, corrupt financial practices were increasingly being monitored in many countries around the globe. Among a large number of problems is a lack of general awareness about all these issues among various stakeholders including researchers and practitioners. The Handbook of Research on Theory and Practice of Financial Crimes is a critical scholarly research publication that provides comprehensive research on all aspects of black money and financial crime in individual, organizational, and societal experiences. The book further examines the implications of white-collar crime and practices to enhance forensic audits on financial fraud and the effects on tax enforcement. Featuring a wide range of topics such as ethical leadership, cybercrime, and blockchain, this book is ideal for policymakers, academicians, business professionals, managers, IT specialists, researchers, and students.

Author: Haim Bodek
Publisher: Createspace Independent Publishing Platform
ISBN: 9781519279095
Category : Capital market
Languages : en
Pages : 0

View

Book Description
This book explores various regulatory, legal, and competitive pressures that the U.S. securities industry is facing as a result of the intense regulatory scrutiny of the modern electronic marketplace and the heated public debate stirred by Flash Boys by Michael Lewis. This collection of previously published and unpublished materials includes the following articles and white papers: 1. 20 Predictions for the Future of the Market Structure Crisis - provides an overview of the current market structure crisis and offers forecasts for regulatory, legal, and commercial developments 2. Deconstructing Maker-Taker - analyzes the nature and implications of the maker-taker pricing model and discusses its role in the current market structure 3. Reigniting the Order Type Debate - reviews recent order type-related rule submissions by securities exchange and discusses the nature of "undocumented" order type features and order matching engine practices 4. The Problem of Fragmentation and Potential Solutions - presents various issues related to the "dispersed" trading process, analyzes different order flow allocation mechanisms, such as maker-taker and payment for order flow arrangements, and reviews potential regulatory solutions 5. HFT Regulation and Market Structure Reform - discusses the emergence of HFT regulation, including various proposals concerning restraints on electronic trading, approaches to slowing down or mechanically restraining the trading process, and the elimination of certain shortcuts embedded in the current market structure 6. Leveling the Playing Field: Lit and Dark Trading Venues - reviews recent enforcement actions directed at trading venues, analyzes the doctrine of regulatory immunity, and addresses a variety of other issues relevant for trading venues 7. Protecting Customers and Achieving Best Execution: Issues for Retail and Institutional Brokers - analyzes various concerns relevant for retail and institutional brokers, including the evolving duty of best execution and its extension to other parties, maker-taker and payment for order flow arrangements, and special order types 8. Litigation and the Impact of Enforcement: The Market Structure Perspective - provides as overview of the litigation landscape for market structure-related issues, including private lawsuits directed at major trading venues and brokerage firms, and discusses the significance of enforcement actions 9. Public Comment Letter on Several Order Type-Related Modifications Proposed by the New York Stock Exchange - offers a critique of the proposed functionalities and discusses the phenomenon of post-only intermarket sweep orders 10. The Flash Boys Lawsuit: The End of the Beginning? - discusses the path of the City of Providence v. BATS class action lawsuit, which has been referred to as the "Flash Boys Lawsuit," and analyzes the prospects of private lawsuits in the market structure space Appendix A - Summary of Key Enforcement Actions and Lawsuits Appendix B - Selected Market Structure-Related References