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Author: Marc I. Steinberg
Publisher:
ISBN: 9781946074249
Category : Insider trading in securities
Languages : en
Pages : 0
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Book Description
This experiential book focuses on the Securities and Exchange Commission's (SEC) enforcement action charging Mr. Mark Cuban with illegal insider trading. Mr. Cuban is a well-respected entrepreneur, businessman and investor whose ownership interests include the National Basketball Association s (NBA) Dallas Mavericks. Mr. Cuban also is one of the principal investors on the reality television program Shark Tank. His net worth is valued in the billions of dollars. The author (Marc I. Steinberg) was retained as an expert witness in this case on Mr. Cuban's behalf. Professor Steinberg therefore had the opportunity to experience this litigation from the playing field rather than as a spectator. These insights enhance the book's substance and vitality. In captivating fashion, the book presents key documents, testimony, and insights from the start of the SEC's investigation of Mr. Cuban's trading of Mamma.com stock through the end of trial with the jury exonerating him. This saga lasting five years was at a high cost for the government and Mr. Cuban. In his successful defense, Mr. Cuban reportedly spent $12 million in legal fees in defeating the government's charge that he was a fraudster. For the SEC, after years of vigorous pursuit with less than a formidable case, it incurred a significant defeat. In the end, when Mr. Cuban emerged victorious and the government packed its bags, questions are raised as to strategic decisions made, the high costs of defending one's good name, the limits of government prosecutorial discretion, and the breadth of our insider trading laws. This book focuses on this intriguing litigation, drawing the reader's attention as the story unfolds.
Author: Marc I. Steinberg
Publisher:
ISBN: 9781946074249
Category : Insider trading in securities
Languages : en
Pages : 0
Get Book Here
Book Description
This experiential book focuses on the Securities and Exchange Commission's (SEC) enforcement action charging Mr. Mark Cuban with illegal insider trading. Mr. Cuban is a well-respected entrepreneur, businessman and investor whose ownership interests include the National Basketball Association s (NBA) Dallas Mavericks. Mr. Cuban also is one of the principal investors on the reality television program Shark Tank. His net worth is valued in the billions of dollars. The author (Marc I. Steinberg) was retained as an expert witness in this case on Mr. Cuban's behalf. Professor Steinberg therefore had the opportunity to experience this litigation from the playing field rather than as a spectator. These insights enhance the book's substance and vitality. In captivating fashion, the book presents key documents, testimony, and insights from the start of the SEC's investigation of Mr. Cuban's trading of Mamma.com stock through the end of trial with the jury exonerating him. This saga lasting five years was at a high cost for the government and Mr. Cuban. In his successful defense, Mr. Cuban reportedly spent $12 million in legal fees in defeating the government's charge that he was a fraudster. For the SEC, after years of vigorous pursuit with less than a formidable case, it incurred a significant defeat. In the end, when Mr. Cuban emerged victorious and the government packed its bags, questions are raised as to strategic decisions made, the high costs of defending one's good name, the limits of government prosecutorial discretion, and the breadth of our insider trading laws. This book focuses on this intriguing litigation, drawing the reader's attention as the story unfolds.
Author:
Publisher:
ISBN:
Category :
Languages : en
Pages : 64
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Book Description
Author: Marc I. Steinberg
Publisher: Oxford University Press
ISBN: 0197583148
Category : Law
Languages : en
Pages : 361
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Book Description
"This book focuses on a very timely and important subject that merit s comprehensive analysis: "rethinking" the securities laws, with particular emphasis on the Securities Act and Securities Exchange Act. The system of securities regulation that prevails today in the United States is one that has been formed through piecemeal federal legislation, Securities and Exchange Commission (SEC) in vocation of its administrative authority, and self-regulatory episodic action. As a consequence, the presence of consistent and logical regulation all too often is lacking. In both transactional and litigation settings, with frequency, mandates apply that are erratic and antithetical to sound public policy. Over four decades ago, the American Law Institute (ALI) adopted the ALI Federal Securities Code. The Code has not been enacted by Congress and its prospects are dim. Since that time, no treatise, monograph, or other source comprehensively has focused on this meritorious subject. The objective of this book is to identify the deficiencies that exist under the current regimen, address their failings, provide recommendations for rectifying these deficiencies, and set forth a thorough analysis for remediation in order to prescribe a consistent and sound securities law framework. By undertaking this challenge, the book provides an original and valuable resource for effectuating necessary law reform that should prove beneficial to the integrity of the U.S. capital markets, effective and fair government and private enforcement, and the enhancement of investor protection"--
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 1128
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Book Description
Author: David E. Y. Sarna
Publisher: John Wiley & Sons
ISBN: 0470601809
Category : Business & Economics
Languages : en
Pages : 418
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Book Description
The “greater fool” theory of economics states that it’s possible to make money by buying paper (securities), whether overvalued or not, and later, selling it at a profit because there will always be an even greater fool willing to pay the higher price. Many described in this book profited by peddling such worthless junk to foolish investors. But for some people—Bernie Madoff, Norman Hsu, Sholam Weiss, and “Crazie Eddie” Antar, aka the “Darth Vader of Capitalism”—overvalued securities were not enough. Outright fraud was their way of life. History of Greed is the compelling inside story of the names you know—Charles Ponzi, Baron Rothschild, Lou Pearlman—and the names you don’t—Isaac Le Maire, the world’s first “naked” short-seller. It’s also our story—why we ignore the lessons of the past and fall prey, most every time, to the promise of easy money. For thousands of years, alchemists unsuccessfully tried to turn worthless base metals into gold. Where science failed at turning nothing into something, business succeeded. Sometimes we praise the creators of derivatives, collateral debt obligations, subprime mortgages, credit default swaps, or auction rate securities as Wall Street’s new financial wizards, the creators of “magic paper.” Other times, we vilify and prosecute them as scam artists. Sometimes, it’s hard to tell who is who. History of Greed reveals the inside secrets of how the markets really work, and how scam artists abuse them to gain an unfair edge or to outright steal. It describes how luftgescheft (“air business”), wizardry, dishonesty, and fraud are used to swindle people. Along with a comprehensive bibliography, History of Greed also details: 400 years of financial fraud—from everyday fraud to the odd and unusual Accounting fraud (phantom sales), stock option fraud (backdating), auction rate securities, hedge fund fraud, Ponzi schemes, promotion fraud (pump-and-dump scams), and money laundering How to detect fraudulent schemes How government regulation only fixes yesterday’s problems If it’s too good to be true, it probably is. If they say you can’t lose, you probably will. History of Greed shows that there really is no such thing as a free lunch, while also detailing how not to become the “greater fool.”
Author: United States. Securities and Exchange Commission
Publisher:
ISBN:
Category : Securities
Languages : en
Pages : 644
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Book Description
Lists documents available from Public Reference Section, Securities and Exchange Commission.
Author: CQ Press,
Publisher: CQ Press
ISBN: 1071920553
Category : Political Science
Languages : en
Pages : 1185
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Book Description
The Nineteenth Edition of the Federal Regulatory Directory is a comprehensive guide for understanding the complex world of federal regulation. It provides detailed profiles of the most important regulatory agencies, including their history, priorities, actions, and landmark decisions. The book also features overviews of independent and self-regulatory agencies, as well as the global and state-level impacts of federal regulation. Whether you are new to the topic or an expert, the Federal Regulatory Directory can be a valuable resource for students, researchers, professionals, and anyone who wants to understand how federal regulation works and how it affects their daily lives.
Author: Stephen M. Bainbridge
Publisher: Edward Elgar Publishing
ISBN: 0857931857
Category : Business & Economics
Languages : en
Pages : 498
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Book Description
In most capital markets, insider trading is the most common violation of securities law. It is also the most well known, inspiring countless movie plots and attracting scholars with a broad range of backgrounds and interests, from pure legal doctrine to empirical analysis to complex economic theory. This volume brings together original cutting-edge research in these and other areas written by leading experts in insider trading law and economics. The Handbook begins with a section devoted to legal issues surrounding the USÕs ban on insider trading, which is one of the oldest and most energetically enforced in the world. Using this section as a foundation, contributors go on to discuss several specific court cases as well as important developments in empirical research on the subject. The Handbook concludes with a section devoted to international perspectives, providing insight into insider trading laws in China, Japan, Australia, New Zealand, the United Kingdom and the European Union. This timely and comprehensive volume will appeal to students and professors of law and economics, as well as scholars, researchers and practitioners with an interest in insider trading.
Author: United States. Congress. House
Publisher:
ISBN:
Category : Legislation
Languages : en
Pages : 1288
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Book Description
Some vols. include supplemental journals of "such proceedings of the sessions, as, during the time they were depending, were ordered to be kept secret, and respecting which the injunction of secrecy was afterwards taken off by the order of the House."
Author: United States. Department of Commerce
Publisher:
ISBN:
Category : Investments, Foreign
Languages : en
Pages : 628
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Book Description
