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Securities Fraud: more books (100)

On patrol in cyberspace: a look at progress among local, state, and federal efforts to combat cybercrime, including credit card fraud and identity theft. ... An article from: Security Management by Peter Piazza, 2003-04-01
The three factors of fraud. (employee fraud) (Investigations): An article from: Security Management by W. Steve Albrecth, Gerald W. Wernz, 1993-07-01
See you in court. (an experienced investigative & legal team can quickly ferret out fraud; includes related information): An article from: Security Management by Marvin A. Katz, Neil V. Getnick, et all 1989-09-01
Checks and balances.(includes related article on check fraud)(fraud prevention): An article from: Security Management by Thomas G. Holland, 1999-08-01
Where crimes converge investigations merge: insurance companies must worry both about fraudulent claims and employee fraud--when the two intersect, a coordinated ... FRAUD): An article from: Security Management by Cynthia Magno, 2005-04-01
How to face down fraud.: An article from: Security Management by Craig Frank, 1998-09-01
Securities Fraud on the Internet (Hearing Before the Committee on Governmental Affairs, U.S. Senate)
Fraud and Corruption Prevention and Identification.: An article from: Security Management by Crawford Robinson, 2007-12-01
Time is money When you're running a scam.(securities regulators gain cease-and-desist powers against securities fraud)(Brief Article): An article from: ColoradoBiz by Robert Schwab, 2001-10-01
Fingering Fraud.(Brief Article): An article from: Security Management by John F. Kich, 2000-08-01
Social Security Fraud Bill (Northern Ireland Assembly Bills)
MILLIONS SNARED IN WEB FRAUD.: An article from: Computer Security Update by Unavailable, 2010-07-01
Fraud Patrol SEC, We Need It.(securities and exchange commission)(Brief Article): An article from: Utah Business by Arian Dasmalchi, 2001-05-01
Of breaches of the peace, home invasions, and securities fraud.(Symposium: Corporate Criminality: Legal, Ethical, and Managerial Implications): An article from: American Criminal Law Review by Christine Hurt, 2007-09-22

lists with details

Securities Fraud
hoaxes, pranks, practical jokes, frauds, tricks, and other forms of deception.
http://www.museumofhoaxes.com/hoax/weblog/permalink/securities_fraud/
Internet Fraud: How To Avoid Internet Investment Scams
securities and Exchange Commission information about investment fraud.
http://www.sec.gov/investor/pubs/cyberfraud.htm

Extractions: Home Previous Page The Internet serves as an excellent tool for investors, allowing them to easily and inexpensively research investment opportunities. But the Internet is also an excellent tool for fraudsters. That's why you should always think twice before you invest your money in any opportunity you learn about through the Internet. This alert tells you how to spot different types of Internet fraud, what the SEC is doing to fight Internet investment scams, and how to use the Internet to invest wisely. The Internet allows individuals or companies to communicate with a large audience without spending a lot of time, effort, or money. Anyone can reach tens of thousands of people by building an Internet web site, posting a message on an online bulletin board, entering a discussion in a live "chat" room, or sending mass e-mails. It's easy for fraudsters to make their messages look real and credible. But it's nearly impossible for investors to tell the difference between fact and fiction. Hundreds of online investment newsletters have appeared on the Internet in recent years. Many offer investors seemingly unbiased information free of charge about featured companies or recommending "stock picks of the month." While legitimate online newsletters can help investors gather valuable information, some online newsletters are tools for fraud.
Milberg Weiss
Law practice focused on class action litigation, primarily securities and investor fraud, with offices in New York, San Diego, San Francisco, Los Angeles, Boca Raton, Seattle, and Philadelphia.
http://www.milbergweiss.com/
Gruttadauria, Lehman Brothers, And Forged Account Statement Frauds - How Investo
A securities lawyer explains how broker Frank Gruttadauria of Lehman Brothers and SG Cowen could have gotten away with his alleged fraud and how investors can recover losses from stockbroker misconduct using NASD stockbroker arbitration.
http://www.investorrecovery.com/gruttadauria.htm

Extractions: Corresponding Offices Nationwide Facsimile: (916) 444-4462 Email: vdicarlo@dicarlolaw.com Frank Dominic Gruttadauria, Lehman Brothers, and Forged Account Statement Frauds When Frank Dominic Gruttadauria disappeared amid charges that, over a period of many years, he had lost or stolen millions millions of dollars belonging to his customers, many wondered how he could have gotten away with it so long. How indeed? Gruttadauria is alleged to have engaged in the fraud while he was supposed to be supervised first by SG Cowen Securities and then by Lehman Brothers, Inc., which purchased SG Cowen's retail business in October 2000. Lehman Brothers is a large and well known brokerage firm and has long been a familiar name on Wall Street. In fact, the method used by Gruttadauria to deceive his customers is fairly straightforward, and is not unheard of in the brokerage business. The broker simply notifies the firm that the customer wants his monthly statements and other correspondence to be sent to a new address, which is often a post office box owned by the broker. Then the broker creates forged reports to send to the the clients.
Xerox Settles SEC Enforcement Action Charging Company With Frau
Press release. The securities and Exchange Commission today filed suit against Xerox Corporation in connection with a wideranging, four-year scheme to defraud investors.
http://www.sec.gov/news/headlines/xeroxsettles.htm

Extractions: Washington, D.C., April 11, 2002 filed suit against Xerox Corporation in connection with a wide-ranging, four-year scheme to defraud investors. The SEC's complaint alleges that from at least 1997 through 2000, Xerox used a variety of what it called "accounting actions" and "accounting opportunities" to meet or exceed Wall Street expectations and disguise its true operating performance from investors. These actions, most of which violated generally accepted accounting principles (GAAP), accelerated the company's recognition of equipment revenue by over $3 billion and increased its pre-tax earnings by approximately $1.5 billion. Xerox agreed to settle the SEC's complaint by consenting to the entry of an injunction for violations of the antifraud and other provisions of the federal securities laws; restating its financials for the years 1997 to 2000; agreeing to a special review of its accounting controls; and paying an unprecedented $10 million penalty. "Xerox used its accounting to burnish and distort operating results rather than to describe them accurately," said Stephen M. Cutler, the SEC's Director of Enforcement. "For Xerox, the accounting function was just another revenue source and profit opportunity. As a result, investors were misled and betrayed."
Timothy C. Karen
Del Mar firm emphasizing securities and consumer fraud, personal injury, class action, and employment disputes.
http://www.timothykaren.com/
Feds Make Biggest Securities-fraud Bust Ever - Jun. 14, 2000
In what authorities are calling the largest securitiesfraud bust in US history,120 defendants including members of all five New York City Mafia crime
http://money.cnn.com/2000/06/14/companies/fraud/

Extractions: NEW YORK (CNNfn) - In what authorities are calling the largest securities-fraud bust in U.S. history, 120 defendants including members of all five New York City Mafia crime families and the treasurer of New York City's police-detectives pension fund were indicted Wednesday for allegedly participating in a securities-fraud scheme involving racketeering and physical violence and costing investors $50 million. FBI and SEC officials said this case represents an emerging trend of the New York crime families banding together to infiltrate the securities markets. However, they pointed out that they have not infiltrated the mainstream securities markets, but a small portion of the low-price securities, or "micro-cap," market.
Spector, Roseman & Kodroff, P.C. Attorneys Class Action Litigation Lawyers
Philadelphia and San Diego law practice focused on class action litigation in the areas of securities, antitrust, and consumer fraud.
http://www.srk-law.com/

Extractions: Our success has been based on three factors: Experience - We focus on those areas of law that we know best, based on many years of successful practice. Creativity - We look for new and innovative legal strategies in order to obtain justice for our clients. Dedication - We take seriously our obligations to our clients. We have the will and the resources to meet their needs. Please feel free to browse our website and learn more about us.
Securities Fraud Attorneys - Shepherd, Smith, & Edwards, LLP
Houston attorneys, offering service and online information for stock fraud and securities arbitration cases.
http://www.stockbroker-fraud.com/

Extractions: "Our firm has represented thousands of investors nationwide and recovered millions of dollars for them from stockbrokers and their firms. (Results will vary depending on the facts of each case.) " - William S. Shepherd, Founder of the Firm Our attorneys and staff have more than 100 years of collective past experience in securities regulation and/or in the securities industry. Several of our attorneys served as Vice President or Compliance Director of brokerage firm(s). Our experienced team is devoted only to assisting investors nationwide to recover losses caused by inappropriate actions of stockbrokers and their firms. We offer a free consultation to those who contact us through our Website.
Department Of Commerce & Insurance » Administration » Welcome
Includes the securities Division which licenses brokers, dealers and investigates fraud; and the Insurance Division, which regulates over 1,600 insurance companies and 60,000 agents.
http://www.state.tn.us/commerce/

Extractions: Press Release Gas Gouging Investigations [pdf] 09/02/2005 Press Release Assisting Evacuees - Insurance [pdf] 09/02/05 Press Release Importance of Storm Damage Flood Insurance [pdf] 09/02/2005 Press Release TDCI approves workers' comp filing. [pdf] 07/12/2005 Press Release HIPPA Health Insurance Policies Available to Former TennCare Enrollees. [pdf] 07/12/2005 Learn more.... Press Release Scam Alert for TennCare Enrollees [pdf] 06/16/2005 Press Release UAHC Health Plan of Tennessee, Inc. has been placed under supervision by TDCI [pdf] 04/21/2005 Press Release TDCI Approves Workers' Comp Filing [pdf] 03/18/2005 Health Insurance Study Surveys Taken to Help the Uninsured Flowers Lauds Federal Investigation of Irregularities at Reciprocal of America
SEC Brings Enforcement Actions Against Three Individuals, Goldman Sachs, And Mas
Determined that the form willfully violated the provisions of the Exchange Act that prohibit fraud by brokerdealers and government securities dealers.
http://www.sec.gov/news/press/2003-107.htm

Extractions: Washington, D.C., Sept. 4, 2003 In a civil suit filed in federal court in New York, the Commission filed securities fraud charges against: Peter Davis, a Washington, D.C.-based consultant and sole proprietor of Davis Capital Investment Ideas. The Commission's complaint alleges that Davis attended the Treasury Department's quarterly refunding press conference on the morning of Oct. 31, 2001, where he learned of the Treasury's decision to cease issuance of the 30-year bond, known colloquially as "the long bond." Davis called numerous clients and tipped them to news about the cancellation of the long bond before the Treasury Department's news embargo was lifted and the news was made generally available to the public. Steven E. Nothern, a resident of Scituate, Mass., and formerly a Senior Vice President and manager of seven fixed income mutual funds for MFS. The Commission's complaint alleges that, after Nothern heard the news of the Treasury's decision to cease issuance of the long bond in a voice mail from Davis on the morning of Oct. 31, 2001, and before the news became public, Nothern and other MFS portfolio managers bought $65 million worth of 30-year bonds for funds that they managed, generating approximately $3.1 million in illegal profits.
NASAA News Release.042301
From the North American securities Administrators Association, this guide includes the top 10 investment scams, and how older Americans can avoid investment fraud and abuse.
http://www.nasaa.org/NASAA_Newsroom/News_Release_Archive/1757.cfm

Extractions: Broker-Dealers Corporation Finance Exams Investment Advisers ... Member Login News Release Archive Top 10 Investment Scams List Released by State Securities Regulators WASHINGTON State securities regulators today released a list of the top 10 investment scams they are combating. New to the third annual list are risky payphone and ATM investments, often sold by independent life insurance agents, and so-called callable certificates of deposit sold to older Americans despite their 10- to 20-year maturities. Our volatile markets have investors, particularly older Americans dependent on predictable interest income, looking for safe havens, said Deborah Bortner, president of the North American Securities Administrators Association (NASAA) and Washington States director of securities. So scammers are pitching their investments as low risk and high return. Thats an impossible combination. The higher the return, the higher the risk. Securities fraud costs Americans billions of dollars each year, state securities regulators estimate.
WorldCom Facing Charges Of Fraud; Bush Vows Inquiry
The securities and Exchange Commission filed fraud charges against WorldCom yesterday and President Bush vowed to 'hold people accountable' for the bookkeeping scandal at the company, the nation's secondlargest long-distance provider and a major carrier of Internet traffic. By Simon Romero. New York Times Free subscription required.
http://www.nytimes.com/2002/06/27/business/27TELE.html
CNN - Pennsylvania Securities Commission Unveils Internet Fraud Unit - August 19
http://www.cnn.com/TECH/computing/9908/19/fraudpolice.idg/index.html

Extractions: Yes No View Results (IDG) The Pennsylvania Securities Commission Tuesday unveiled an Internet fraud unit to protect the state's investors from the growing problem of online securities scams. The Internet Fraud unit is made up of seven staff members, including attorneys, investigators and examiners. The group has been scouring the Internet looking for securities irregularities for about two years. Commissioners decided to make the group a formal part of the commission with the arrival of mainstream online investing. MORE COMPUTING INTELLIGENCE IDG.net home page
Securities Law, Banks Law Office, P.C., Representing Investors In Securities Arb
Representing investors in securities law cases including securities arbitration and litigation involving stockbroker abuse, fraud, churning, online trading, margin abuse and all investment related claims.
http://investordefender.com

Extractions: Nationally Recognized Investor Rights Counsel The Banks Law Office represents individual investors and investor groups in claims against stock brokers, investment advisors and other securities professionals. Our claims are resolved through NASD arbitration, NYSE arbitration, as well as in state and federal courts. Our victories have been reported in The Wall Street Journal, The New York Times, Business Week, The CBS Evening News, Smartmoney.com, Securities Arbitration Commentator, Securities Week, The Business Journal, The Oregonian, and various securities law trade journals. Explore our site and learn more about investment law and cases involving misrepresentation, fraud, unsuitability, churning, stockbroker negligence, and related claims. Banks Law Office, P.C.
Securities Arbitration, NASD, Stock Options, Broker Fraud: Klayman And Toskes: A
securities litigation firm with an emphasis on the rights and remedies of theindividual. Florida, New York, California.
http://www.nasd-law.com/

Extractions: Have you been a victim of investment fraud or Stockbroker abuse? The , a nationally known law firm, practices exclusively in securities arbitration and litigation matters. The Firm represents investors who have sustained recoverable damages as a result of specific failures by financial advisors and the brokerage firms supervisory procedures. , with its main office located in Boca Raton, Florida and additional offices in California, Georgia, Nebraska, New York, Washington and Washington D.C., has achieved substantial recoveries on the behalf of aggrieved investors. The Firms expertise is in the forum established by the National Association of Securities Dealers (NASD) and New York Stock Exchange (NYSE) for securities arbitration. Investors who maintain accounts with brokerage firms and have been damaged are required to bring their dispute before Self Regulatory Organizations such as the NASD and NYSE. While arbitration used to be an informal process, now, arbitration resembles a formal court proceeding. As arbitration has become more complex, you should retain qualified securities attorneys to represent you against brokerage firms and their experienced trial lawyers. The helps investors through NASD, NYSE, AAA and PSEX securities arbitration and securities litigation matters. The Firm also provides forensic accounting, securities litigation support and expert testimony in securities arbitration and securities litigation matters.
Home
Chicago firm representing businesses and individual clients in a variety of areas ranging from contract disputes through labor law, securities, and consumer fraud claims.
http://www.steinlaw.us

Extractions: Stein Bogot, Ltd. focuses its practice in commercial, complex and class litigation. It represents both corporate and individual clients in a wide variety of substantive areas ranging from basic contract disputes through complex labor law, securities, and consumer fraud claims. We are able to provide the highest level service to our clients by representing them exclusively or working closely with firms recognized as leaders in their practice and geographic areas. Robert J. Stein III (Rob@SteinBogot.com ) has been practicing complex and class litigation since being admitted to the Illinois bar in 1995. He is also a member of the California bar, and is admitted to practice before the United States Supreme Court, the United States Court of Appeals for the Seventh Circuit, and multiple United States District Courts. Mr. Stein received his Bachelor of Arts degree in history, with honors, form the State University of New York at Albany in 1992 and his Juris Doctor degree with high honors from the Chicago-Kent College of Law - Illinois Institute of Technology in 1995. Mr. Stein was also elected to the Order of the Coif in 1995. Mr. Stein's work has spanned diverse fields including Consumer Fraud claims, Labor Law claims, Securities Law claims, ERISA and Illinois Public Pension Fund claims, International Contract Disputes, FDA related claims, RICO claims, and Whistle Blower and
Blum & Silver, LLP
Law firm specializing in securities arbitration, stock law, and fraud. Located in Plantation.
http://www.stock-attorneys-darren-blum.com
Meyers & Heim LLP: Securities And Corporate Attorneys
Former SEC Enforcement attorneys offering offering service and online information for stock fraud and securities arbitration case.
http://www.MeyersandHeim.com
Stockbroker Pleads Guilty To Security Fraud
http://cnn.com/2002/LAW/02/13/securities.fraud.ap/index.html

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