Wayward Capitalists: Targets of the Securities and Exchange Commission
This pathbreaking book not only reveals how "wayward capitalists"--representatives of publicly held corporations, stock buyers and sellers, stockbrokers, investment advisers, accountants, and attorneys--defraud investors but also explains how Securities and Exchange Commission enforcers catch, investigate, and prosecute these offenders. "The book is a valuable source for grasping the intricacies of corporate deviance. an attractive feature is the author's discussion of research design and execution. . . . An excellent reference section is provided for the inquiring reader. I recommend the book for both the practitioner and academician. The author blends the fields of business and criminology, which should be of interest to anyone studying private justice and white collar crime."--Robert J. Meadows, Security Administration "An important book."--USA Today "The book contains many interesting anecdotes in addition to the research findings and is bound to be controversial."--Stephen L. Fogg, Journal of Accountancy
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Abscam actual investors administrative proceedings allegations behavior Better Business Bureau broker-dealers brokerage firm brokers caseload catch civil clients corporate representatives cover-up criminal prosecution detection strategies deviant disclose disclosures docketed duration embezzlement employees Equity Funding example factor factor analysis filings home office illegal activities illicit activities impact insider trading inspections intelligence strategies investigatory investment advisers involved less market surveillance misappropriation misrepresentations non-market surveillance observation ongoing opportunities organizational organizations participating insiders percent persons pertaining Police proactive promotional purchase reactive records referrals regional offices registration violations reports role sample schemes scope Scotch whisky SEC enforcers SEC investigators SEC registration securities community securities fraud securities offenses securities professionals securities violations securities world self-dealing self-regulatory agencies social control agencies solicited investors sources spin-offs staff stock issuers stock manipulation technical violations tion transactions typically U.S. attorneys uncover vulnerable wayward capitalism wayward capitalists white-collar crime York