Securities Fraud -- Contents -- Preface -- Acknowledgments -- Introduction -- CHAPTER 1 The Face of War -- Cost of Defeat -- Drawn and Quartered -- Art and Fog of War -- Origins -- The Best of Times-The Worst of Times -- Lords of Chaos -- Predictably Controversial -- Conventions for Prevention -- The Moderately Trained Advising the Moderately Informed -- Non Sequitur -- Flawed Logic -- Human Capital -- Ordinary People Performing Extraordinary Deeds -- Fraudster-Not the Typical Job Applicant -- Heroes and Villains -- New Notions for Old Issues -- A Collarless World -- Definitions: Securities, Investment, Fraud -- Bad Advice, Bad Luck, Bad Service-But Not Fraud -- Methodology -- What You Need to Know versus What Someone Wants You to Know -- Dismantling Silos -- Magician's Curtain -- Notes -- CHAPTER 2 Shared Interests -- Trade Secrets -- Dutch East India Company -- Shared Interests -- Merchants and Pirates -- Uniformly Non-Uniform -- Scale Reconsidered -- Transfer of Risk -- Innovation Out of Necessity -- Nation of Farmers -- NYSE -- Rags to Ritzes -- Cazique of Poyais -- Land That Never Was -- Mosquito Coast -- Statutory Foundations -- Call to Arms -- Gatekeeper-Lock-Key -- Far Out of Line with Reason -- Other Voices, Other Rooms -- Grains and Gold -- Notes -- CHAPTER 3 The Eleven -- Greater Than 10 yet Less Than 12 -- 1. The Kansas Securities Act (Blue Sky Law) -- 2. The Securities Act of 1933 -- 3. The Securities Exchange Act of 1934 -- '34 Act Provisions -- 4. The Glass-Steagall Act of 1932 -- 5. The Commodity Exchange Act of 1936 -- 6. The Investment Company Act of 1940 -- 7. The Investment Advisers Act of 1940 -- 8. The Bank Secrecy Act of 1970 -- 9. The USA Patriot Act of 2001 -- 10. The Sarbanes-Oxley Act of 2002 -- 11. Shearson/AMEX v. McMahon -- Safety Nets-A Misnomer -- Coverage Caveats -- Beyond the Rules -- Notes.

CHAPTER 4 Funding and Fraud -- It Really Doesn't Matter -- Securities? No. Securities Fraud? Yes! -- Montgomery to Manhattan -- Promises, Promises -- A Rotten Compromise -- Common Stock, Uncommon Results -- Read the Label -- Financial Purgatory -- An Evil Equation -- Transition to Victimization -- Notes -- CHAPTER 5 Command and Control -- Absolutologist -- By the Numbers -- It Starts at the Top -- Carlo "Charles" Ponzi -- Robert Vesco -- King" of White-Collar Crime -- Guns and Butter -- White Knight from Detroit -- Tom Adams -- Robert E. Brennan -- Blue-Eyed Devil -- Michael de Guzman et al. -- Fact: Stranger Than Fiction -- He Was a Slob" -- Forced Marriage -- Fallout -- Bernard L. Madoff -- I Am Not Accepting New Clients -- Silos -- Totality and Nothingness -- Sell Down until You Can Sleep -- Notes -- CHAPTER 6 Paid to Steal -- At All Costs-Protect the Brand -- Michael Holoday -- Free Rider -- Colossal Failure to Supervise -- Canadian Securities Regulation -- Talent for Trading -- Holoday Epilogue -- Nick Leeson -- Torpedoed -- Black Hole of Deception-88888 -- I'm Sorry" -- Michael Milken -- Full Disclosure -- Drexel's Structure -- Robert L. Citron -- O.C. Pools -- Prop 13 -- Devil in Disguise -- Yanming -- A Great Fall from the Great Wall -- Notes -- CHAPTER 7 Outside Inside -- Anthony "Tino" De Angelis -- Powerful Forces Are Working Against Me" -- Oils and Fats -- Oils and Water -- Simple Math -- Ivan Boesky -- Six Degrees of Separation -- G. Foster Winans -- Fifth Estate -- Martha Stewart-"I Was In Prison You Know" -- Circus -- Common Denominator -- Magic of Algorithms -- Notes -- CHAPTER 8 Misunderestimated -- Adviser Fraud -- Patterns -- Jordan Belfort-Robert Brennan Incarnate -- Frank Gruttadauria -- Martin Frankel (or One of Twelve Other Aliases) -- Captain Money-J. David Dominelli -- Eric Bartoli (A.K.A. Enrico Orlandini) -- Retrospective.

Notes -- CHAPTER 9 Days of Future Past -- Dystopian Future -- Rating Agencies -- Trevor Cook (Oxford Global Partners) -- Patricia Cornwell v. Anchin, Block & Anchin -- Derivatives -- Huang Guangyu -- Galleon Group Hedge Fund -- Jerome Kerviel -- Kenneth Lewis -- Semion Mogilevich -- Sean David Morton -- Rebecca Parrett -- Pathway to Prosperity -- Goldman Sachs -- Marcus Schrenker -- R. Allen Stanford -- Kenneth Ira Starr -- Structured Products -- Weizhen Tang -- Douglas F. Vaughan -- In Their Own Words -- Eric Bartoli (Enrico Orlandini) -- Lance Poulsen -- Richard Scrushy -- Synthesizing Raw Data -- Notes -- CHAPTER 10 The Warrior's Path -- Endless Struggle -- Who? -- Why? -- How? -- Who Says So? -- APPENDIX Frequently Used Abbreviations -- About the Author -- Index.