Securities Fraud: Detection, Prevention, and Control

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Wiley, Sep 29, 2010 - Business & Economics - 208 pages

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.

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About the author (2010)

Louis L. Straney (Santa Fe, NM) spent 24 years as a senior manager in the financial services industry including a four year tenure at Director level with Smith Barney. In 2007, he created Arbitration Insight, LLC, where he provides expert witness and consulting services for securities and commodities related disputes. He has published articles in law journals and a self-study course on securities fraud for the Association of Certified Fraud Examiners (ACFE), where he provides training and is a regular speaker at national and local conferences and events.

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