FAQs tagged as

Financial Crime

  1. What are some high-profile examples of wash trading schemes?

  2. What are examples of inherent risk?

  3. What is the difference between wash trading and insider trading?

  4. What impact did the Sarbanes-Oxley Act have on corporate governance in the United ...

  5. Who are the most famous people convicted of insider trading?

  6. What's the difference between insider trading and insider information?

  7. Who sets the global standard to stop money laundering and how is it implemented?

  8. Why does fighting money laundering reduce overall crime?

  9. What is accounting fraud?

  10. Does identity theft or credit card fraud also occur with cash-on-delivery?

  11. What methods are used to launder money?

  12. If caught, what implications does money laundering have on a business?

  13. Is there any history of insider trading with Warren Buffett or Berkshire Hathaway?

  14. What are the top Social Security scams targeted at the elderly?

  15. Do common stock owners have any protections against bankruptcy or fraud?

  16. How do regulators ensure that markets are conducted at arm's length?

  17. What's the difference between legal defalcation and illegal defalcation?

  18. What was the Mahonia company and why did it become the subject of a lawsuit?

  19. What are the dangers of using the Electronic Federal Tax Payment System (EFTPS)?

  20. Excessive trading is:

  21. What is the difference between a Ponzi and a pyramid scheme?

  22. Under the USA, there are antifraud provisions that apply to securities. Which of ...

  23. Who was the first person charged by the SEC?

  24. Who was the youngest CEO to be indicted for securities fraud?

  25. What did Knight Trading Group do to incur a $1.5 million fine for violating trading ...

  26. What does churning mean?

  27. How did corporate ownership almost lead to the ruin of Adelphia in 2002?

  28. What is a "phishing scam" and how can they be avoided?

  29. Why did the Department of Justice launch an inquiry into the sale of ImClone shares ...

  30. Why did Tyco's financial statements attract the SEC's attention in 2002?

  31. According to the U.S., prohibited conduct of an investment advisor is defined as:

  32. Why is a "hockey stick bid" considered fraudulent?

  33. How did Peter Young gain infamy as a "rogue trader"?

  34. What is leakage?

  35. What is the salad oil scandal?

  36. How did Joseph Jett cause Kidder, Peabody & Co. to lose over $350 million?

  37. How did derivatives trader Nick Leeson contribute to the fall of Barings Bank?

  38. How did currency trader John Rusnak hide $691 million in losses before being caught ...

  39. What is the doctor advisory scam?

  40. What exactly is insider trading?

  41. What is the "squawk box scandal"?

  42. What is a boiler room operation?

  43. What is options backdating?

  44. How does a pump and dump scam work?

  45. Who was Parker Dozhier and why was he called a "bag man"?

  46. What was the Whitewater scandal?

  47. What happens to the fines collected by the Securities and Exchange Commission?

  48. What was "Operation Wooden Nickel"?

  49. Do traders, market makers, specialists or others ever deliberately drive a stock's ...

  50. Who is Mr. Copper?

  51. How can unethical executives use options backdating to evade taxes?

  52. What is Ginzy trading?

  53. What are goldbrick shares?

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