The Outstanding Success of the U.S. Securities and Exchange Commission by Michael Erbschloe - HTML preview

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Table of Contents
Section	Page Number
About the Editor	3
Introduction	4
Organization of the SEC	7
The Laws That Govern the Securities Industry	22
SEC Enforcement Results: Fiscal Years 2014-2016	27
SEC Foreign Corrupt Practices Act Cases	34
Insider Trading Cases at the SEC	50
Testimony Concerning The Involvement of Organized Crime on Wall Street	63
SEC Wins Major Hedge Fund Fraud Case Against Michael Lauer, Head of Lancer Management Group	80
Bank of America Admits Disclosure Failures to Settle SEC Charges	82
Waste Management Founder, Five Other Former Top Officers Sued for Massive Fraud	84
The WORLDCOM Case	89
SEC Charges J.P. Morgan Chase In Connection With Enron's Accounting Fraud	101
Xerox Settles SEC Enforcement Action Charging Company With Fraud	104
SEC Charges Kenneth L. Lay, Enron's Former Chairman and Chief Executive Officer, with Fraud and Insider Trading	108
SEC Charges Time Warner With Fraud	113