U.S. Securities and Exchange Commission Essays

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U.S. Securities and Exchange Commission Essays

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    Case Study Jordan Belford

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    Jordan Belford violated many laws and regulations appointed by the SEC (U.S. Securities and Exchange Commission). The SEC's primary responsibility is enforcing the federal securities laws, proposing securities rules, regulating the securities industry as well as the nation's stock and options exchanges. Belford used knoweldge to gain power, therby concentrating wealth in a smaller group – harming the overall societal satisfaction. H1 – The market can not function without morality H2 – Moral obedience

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    Sky Capital Case Study

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    Sky Capital LLC a/k/a Granta Holding Ltd. and Sky Capital Enterprises Inc. was charged with a civil injunctive action in the United States District Court by the Securities and Exchange Commission for using fraudulent boiler room tactics between September 2002 and November 2006 to raise more the $61 million from investors. The Commission also charged Sky Capital’s founder former President and CEO, Ross Mandell, the firm’s former COO, Stephen Shea, and four registered representatives, Adam Harrington

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    information is contained in daily trade, it is not rare that interest-motivated insiders may make use of the access to the formation to conduct insider trading. Insider trading is defined as trading of securities in possession of relevant material, nonpublic information, in breach of fiduciary duty (U.S.

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    Madoff cheated thousands of investors of billions of dollars throughout more than a decade through his company Bernard L. Madoff Investment Securities LLC. (Interesting side note: I chose to write my ethics paper on Madoff because my roommate in Barcelona is friends with Bernie Madoff’s granddaughter). Madoff was able to cheap investors out of billions of dollars through a Ponzi scheme. A Ponzi

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    Introduction According to Lussier (2000), SWOT analysis involves the process of evaluating the strengths, weaknesses, opportunities, and threats faced by a firm. This study aims at undertaking a SWOT analysis of Starbucks through analyzing the available opportunities and strengths accessible for Starbucks surmounting threats and overcoming weaknesses. Starbucks’ establishment in 1971 in Seattle Pike aimed at meeting the market’s need for high-quality, freshly roasted coffee served in a comfortable

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    Introduction: Frank Abagnale caught the nation’s attention when he managed to steal a total of 2.5 million dollars just by writing bad checks. The most interesting part of the story is that he did this all between the ages of sixteen to twenty-one. This was a crime so serious that he was sentenced to over ten years in prison, even though he was a minor at the time of the crimes (Abagnale "Abagnale & Associates.”). This outrageous crime spree gave birth to the movie Catch Me If You Can. I

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    Jp Morgan Research Paper

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    1 THE LIFE OF J.P. MORGAN: BANK TITAN The Life of J.P. Morgan: Bank Titan Brooklyn M. Ward Bethel University U.S. History II Essay 1, Unit 3 Abstract In this essay, I will break down the life of the great J.P. Morgan. J.P. Morgan may have never worried about money, but he came under constant scrutiny for how he spent his money. From a childhood with a judgmental father to wealthy adulthood, Morgan had to worry about what people thought of him. He came under fire when

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    Anne Frank Case Study

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    The theories on how Anne Frank and the others in the annex were discovered included one of the employees tipped off the police, neighbor or passerby could have heard and alerted authorities, or discovered by chance. For example, the article says, “Otto, who passed away in 1980, long suspected that one of his employees, Wilhelm van Maaren, had tipped off the police.” The article also says, “They’re hoping to determine whether a neighbor or passerby could have heard the Franks and alerted the authorities

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    TYPES OF WHITE COLLAR CRIME:- According to Herbert Edelhertz white collar are of four types on the basis of motivation of the perpetrator. They are:- 1. Individual basis crime like as income tax evasion, bankruptcy fraud, credit purchase or taking loans with no intention to pay and insurance fraud. 2. In the course of employment. Such employment violates their duty of loyalty towards their customer and employee. Such crime are bribery, kickbacks, embezzlement and pilfering. These type of criminal

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    LIVE FREE OR DIE “Mr Cornell, sir, there’s a letter here for you.” His secretary’s voice rang like church bells on a Sunday morning. He smugly pinched the letter from her hands and raised it to a readable distance. Sender read ‘IRS Criminal Investigation Division’, receiver read ‘Cornell Fabricators’. His heart sank and his stomach churned. It took him a while to open the envelope although upon conclusion he tore it open like a kid would do to a candy wrapper to reveal the letter. ‘TAXPAYER,

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    Qui Tam Case Study

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    Qui Tam Act litigation under the federal False Claims Act The False claim Act is the main Federal law that creates the legal basis for individuals or the Government to act against any company, organization or contractor who are benefiting from government grants, intentionally present a false or fraudulent, contains false or fraudulent or a false record or statement to get a false or fraudulent claim paid or approved by the Government. The provisions of the false claim, are the primary litigation

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    Relevant Facts: Nurofen, the pain-relief medication is made by Reckitt Benckiser Australia, a multinational company. The company was found misleading customers for all its specific range that contained the same active ingredient ibuprofen lysine 342mg and was seen to have same effect. The product was advertised the products as been targeting back pain, period pain and tension headaches. The Company was fined $1.7m for misleading customers on range of ‘specific pain’ relief contravening Australian

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    “Goldman Sachs marketed four sets of complex mortgage securities to banks and other investors, but failed to tell them the investments were very risky. In addition, the bank did not mention that it was itself betting that the investments' value would fall, indicating it sold products to clients it did not believe in backing itself”( bbc.co.uk). Publication of BBC News on April 14, 2011 reported a conflict of interest between Goldman Sachs and its clients. Two years earlier, in 2009, “The New York

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    The cliche phrase “with great power comes great responsibility” is one that can be applied to many different situations, but what really is power? The Merriam-Webster dictionary defines it as the “possession of control, authority, or influence over others.” The concept of power is one that is familiar around the world, whether in a positive or negative connotation. In To Kill a Mockingbird, power is seen in someway with every turn of a page. To Kill a Mockingbird is set in the mid 1930s during the

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    Fraud In Enron's Failure

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    occurred with Enron’s failure perhaps being the emblematic example. Jeffords (1992) examined 910 cases of frauds submitted to the “Internal Auditor” during the nine-year period from 1981 to 1989 to assess the specific risk factors cited in the Treadway Commission Report. He concluded that “approximately 63 percent of the 910 fraud cases are classified under the internal control risks.” Calderon and Green (1994) did an analysis of 114 actual cases of business fraud published in the “Internal Auditor” during

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    “Great men are not born great, they grow great (Puzo)”. In F. Scott Fitzgerald’s The Great Gatsby, the protagonist Jay Gatsby comes from a poor background and strives into a wealthy individual because of his hard work and determination. In the Great Gatsby, Nick Carraway, the narrator, reflects on how Gatsby hails from a lower-class family in North Dakota surviving with nearly nothing. Eventually after returning from World War I, he moves to West Egg New York to attempt to win the love of his life

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    Introduction “...there is an idea of a Patrick Bateman, some kind of abstraction, but there is no real me, only an entity, something illusory, …I simply am not there.”  -Bret Easton Ellis, American Psycho (1991) How and why does Bret Easton Ellis conflate the characterisation of serial consumerist and serial killer in Patrick Bateman from American Psycho? American Psycho is a 1991 Bret Easton Ellis novel focusing around the antihero Patrick Bateman. Patrick Bateman is a Wall Street investment

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    The Dodd-Frank Act

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    Act is adopted by most of the investment banking organizations across the world. 2. Payment Card Industry Data Security Standard (PCI DSS): PCI standards talks about defining security guidelines and

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    Directorate of Revenue Intelligence, The Income-tax Department and the Customs Department. Concentration and distribution of national wealth must be done in a proper manner. Speedy trial should be arranged by appointing more Judges. Central Vigilance Commission must keep a constant vigil on the workings of the top ranking officers. Lastly everyone should be aware and vigilant towards white-collar crimes that are happening around us. One should be very careful with one’s actions, words and things regarding

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    Fraud is defined as “the intentional deception made for personal and monetary gain” (Hill, 2005). Many people think think of fraud as making an illegal ID or forging papers. Another type of fraud that often goes unnoticed to the untrained eye is unethical accounting, also known as accounting fraud or ‘Cooking the books”. Accounting scandals are complex and can be very tricky to locate even under close inspection of a company’s accounting records. Accounting relies heavily upon numbers balancing each

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