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

Investigation of Failure of the SEC to Uncover Bernard Madoff's Ponzi Scheme
Author: H. David Kotz
Publisher: DIANE Publishing
Total Pages: 477
Release: 2010-03
Genre: Biography & Autobiography
ISBN: 1437921868

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.

Oversight of the SEC's Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance

Oversight of the SEC's Failure to Identify the Bernard L. Madoff Ponzi Scheme and How to Improve SEC Performance
Author: H. David Kotz
Publisher: DIANE Publishing
Total Pages: 23
Release: 2010-08
Genre: Biography & Autobiography
ISBN: 1437926517

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.

Too Good to Be True

Too Good to Be True
Author: Erin Arvedlund
Publisher: Penguin
Total Pages: 346
Release: 2009-08-11
Genre: Business & Economics
ISBN: 1101137789

The untold story of the Madoff scandal, by one of the first journalists to question his investment practices Despite all the headlines about Bernard Madoff, he is still shrouded in mystery. How did he fool so many smart investors for so long? Who among his family and employees knew the truth? The person best qualified to answer these questions is Erin Arvedlund. In early 2001, she was suspicious of the amazing returns of Madoff's hedge fund. Her subsequent article in Barron's could have prevented a lot of misery, had the SEC followed up. Arvedlund presents a sweeping narrative of Madoff's career-from his youth in Queens, New York, to his early days working for his father­in- law, and finally to infamy as the world's most notorious swindler. Readers will be fascinated by Arvedlund's portrayal of Madoff, his empire, and all those who never considered that he might be too good to be true.

No One Would Listen

No One Would Listen
Author: Harry Markopolos
Publisher: John Wiley & Sons
Total Pages: 382
Release: 2011-02-08
Genre: Business & Economics
ISBN: 0470919000

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.

SEC News Digest

SEC News Digest
Author: United States. Securities and Exchange Commission
Publisher:
Total Pages: 644
Release: 1977-07
Genre: Securities
ISBN:

Lists documents available from Public Reference Section, Securities and Exchange Commission.

Trading and Exchanges

Trading and Exchanges
Author: Larry Harris
Publisher: OUP USA
Total Pages: 664
Release: 2003
Genre: Business & Economics
ISBN: 9780195144703

Focusing on market microstructure, Harris (chief economist, U.S. Securities and Exchange Commission) introduces the practices and regulations governing stock trading markets. Writing to be understandable to the lay reader, he examines the structure of trading, puts forward an economic theory of trading, discusses speculative trading strategies, explores liquidity and volatility, and considers the evaluation of trader performance. Annotation (c)2003 Book News, Inc., Portland, OR (booknews.com).

Talking to Strangers

Talking to Strangers
Author: Malcolm Gladwell
Publisher: Little, Brown
Total Pages: 316
Release: 2019-09-10
Genre: Social Science
ISBN: 0316535621

Malcolm Gladwell, host of the podcast Revisionist History and author of the #1 New York Times bestseller Outliers, offers a powerful examination of our interactions with strangers and why they often go wrong—now with a new afterword by the author. A Best Book of the Year: The Financial Times, Bloomberg, Chicago Tribune, and Detroit Free Press How did Fidel Castro fool the CIA for a generation? Why did Neville Chamberlain think he could trust Adolf Hitler? Why are campus sexual assaults on the rise? Do television sitcoms teach us something about the way we relate to one another that isn’t true? Talking to Strangers is a classically Gladwellian intellectual adventure, a challenging and controversial excursion through history, psychology, and scandals taken straight from the news. He revisits the deceptions of Bernie Madoff, the trial of Amanda Knox, the suicide of Sylvia Plath, the Jerry Sandusky pedophilia scandal at Penn State University, and the death of Sandra Bland—throwing our understanding of these and other stories into doubt. Something is very wrong, Gladwell argues, with the tools and strategies we use to make sense of people we don’t know. And because we don’t know how to talk to strangers, we are inviting conflict and misunderstanding in ways that have a profound effect on our lives and our world. In his first book since his #1 bestseller David and Goliath, Malcolm Gladwell has written a gripping guidebook for troubled times.

Work in the 21st Century

Work in the 21st Century
Author: Frank J. Landy
Publisher: Wiley
Total Pages: 720
Release: 2012-12-26
Genre: Psychology
ISBN: 9781118291207

This book retains the accessibility of the previous editions while incorporating the latest research findings, and updated organizational applications of the principles of I-O psychology. The scientist-practitioner model continues to be used as the philosophical cornerstone of the textbook. The writing continues to be topical, readable, and interesting. Furthermore, the text includes additional consideration of technological change and the concomitant change in the reality of work, as well as keeps and reinforces the systems approach whenever possible, stressing the interplay among different I-O psychology variables and constructs.