Abbott Financial Services
Abramo, Phil
accounting industry
“accredited investor”
Across the Board
Acs, Gabor S.
Adelphia Communications
Adler Coleman
advertising
hedge funds and
Agora Inc.
Alfred University
Alliance Capital
Altomare, Richard A.
Amber Securities/Capital Assets Ltd.
American Arbitration Association (AAA)
American Bar Association
American Funds Distributors
American Stock Exchange (Amex)
microcap stocks and
Amex window
Amorosa, Dominic
Amsterdam, boiler rooms in
AnalystBroadcast
Antilla, Susan
Applied Technology
A.R. Baron
arbitration
appeal in
arbitrator selection for
manufactured evidence in
Shearson ruling and
Argus Research
Arnold & Porter
Arseneault, Jack
Arthur Andersen
Asensio, Manuel
Asia
financial markets in
Asia4Sale
Askin, David J.
Askin Capital Management
Aslanian, Stanley, Jr.
Association for Investment Management and Research (AIMR)
see also CFA Institute
Australia
Australian Securities Commission
backward pricing
Bacon, Louis
Baker, Brett
“Baloney Blitzkrieg”
Eagletech and
bankruptcy
Bankruptcy Court
banks, banking
investment
Barbash, Barry
Barber, Brad M.
Barron’s
Baxter, Harold J.
Bayou hedge fund group
Bear Stearns & Co.
muni-bond deals and
Beatty, Randolph
behavioral finance
Bennett, Robert
Bernheim, Antoine
Bhagat, Sanjai
Bianco, Tony
bid-ask spread
Bingaman, Anne K.
Black, Bernard
Blinder Robinson
Blodget, Henry
BlueFire Research
Blue Water Fund Ltd.
bonds, bond funds
hedge funds and
municipal, see municipal bonds
rating of
Boni, Leslie
“bore,” see media
Born to Steal (Weiss)
Bowen, Scott
Breeden, Richard C.
Briggs, Lynn
Britz, Robert G.
“broker”
brokerage firms
penny stocks and
price fixing and
short-sellers vs.
Brown, Stewart L.
Brucato, Peter F., Jr.
Bryan, Richard
Buffett, Warren
Build the Board
Bullard, Mercer
Burns, David D.
Bush, George W.
Ownership Society and
Business Week
Donaldson coverage in
Enron and
Grasso profiled by
Levitt coverage in
microcap-stock promoters vs. short-sellers in
Business Week Assets
Byrne, Patrick
Byron, Christopher
California
California Judicial Council
call options
Capital Assets Ltd.
capital gains, short-term vs. long-term
Capital Group
capture theory
Carey, Christopher
Carr, David
Carter, John C.
Casavant, Urban
CastPro Inc.
Catoggio, Bobby
Caxton Corp.
CEO Council
CFA Institute
Chalmers, John M. R.
Chamber of Commerce, U.S.
chaos theory
charleskerns.com
chartered financial analysts (CFAs)
Chemerow, David I.
Chequemate International Inc.
Chicago Board of Trade
Chicago Tribune
Citigroup
class-action lawsuits
CMKM Diamonds
CNBC
CNBC University
cold-calling, offshore stock pushing and
collateralized mortgage obligations (CMOs)
Commerce Bancorp
commissions
Commodity Futures Trading Commission (CFTC)
Communications Decency Act (1996)
Congress, U.S.
hedge funds and
microcap fraud and
mutual funds and
naked short-selling and
see also House of Representatives, U.S.; Senate, U.S.
Connolly, James A., III (Drew)v
Constitution, U.S.
consultants, MSRB ban on
Consumer Federation of America
Convergence Asset Management
Cornwallis, Lord
covered-call writing
Cowan, Douglas
Cox, Christopher
Cragun, Bryant
Cramer, Jim
Creative Securities
Credit Suisse First Boston
Criterion report
Cuban, Mark
D’Alessio, John R.
Danforth, John
Dashtar Corporation
Dateline NBC,
Davidson, James D.
Dean, Howard
DeCavalcante crime family
Democrats
Denver brokerages
Depository Trust & Clearing Corporation (DTCC)
Dirks, Ray
Dodd, Chris
Dodd, Tom
Donaldson, Lufkin & Jenrette
Donaldson, William H.
EasyLink and
hedge funds and
media coverage of
mutual fund scandals and
naked short-selling and
as NYSE head
Dorfman, Dan
Douglas, William O.
Dow Jones Newswires
Drexel Burnham Lambert
Dreyfus Corp.
Druckenmiller, Stanley
due process
Dutch Tulip Bulb Mania
Dutton, John M.
Dutton report
Dynamics fund
Dynatech International, Inc.
Eagletech Communications
EasyLink Services
Edelen, Roger M.
Efficient Market Hypothesis (EMH
Elgindy, Amr
Ellis, Charles D.
Emshwiller, John R.
endowment money, hedge funds and
Enron
equity funds
Essary, Gayle
naked short-selling opposed by
Essary, Todd
ETFs (exchange-traded funds)
Extraordinary Popular Delusions and the Madness of Crowds (Mackay)
Fagenson, Robert B.
Fannie Mae
Farallon
farming, hedging and
FBI
Federal Reserve
Board of Governors of
Feeling Good (Burns)
fees
hedge fund
mutual fund
Feldman Weinstein LLP
Fidelity
“financial consultant”
Financial Review,
FinancialWire
Fink, Matthew P.
FirstAlert network
First Amendment
First Call
First Hanover Securities
First Jersey
FIRST Research Consortium
Fitzgerald, Peter G.
“flame”
floor brokers
Forbes,
Ford Focus
Fortune,
401(k) plans
Frankel, Martin
Fred Alger Management
Freeman, John P.
Freeman-Brown study
free markets
short-selling and
free speech
Fuhrman, Ryan C.
futures contracts
G-37 rule
gambling
Garden State Preservation Trust
Gartenberg v. Merrill Lynch Asset Management,
Geek Securities
GeneMax
Genesis International Financial
Giuliani, Rudy
Glassman, Cynthia A.
global macro funds
Go East, Young Man (Douglas)
Goldin, Harrison J.
“Goofy Leverage Template” (“LTCM Subtemplate”)
Government Accountability Office (GAO)
Granite Partners
Grasso, Dick
Grasso, Dick (continued)
scandal of
self-regulation and
Great Britain
Great Depression
Greater Moron Theory of Investing
Greenberg, Herb
Groves, Rand
burden of proof and
courtroom rights and
see also Rand Groves v. Merrill Lynch Pierce
Fenner & Smith Inc. and Llewellyn G. Ross
and National Association of Securities
Dealers Inc.
Growth Fund of America
Haaga, Paul G., Jr.
Haas Securities
Hanover Sterling & Co.
Hart, David W.
“Haskell, Eddie”
Hastert, J. Dennis
HealthTech International
“hedge”
“Hedgefallatio”
hedge funds
abuses of
CMOs and
defined
endowment money and
fees for
growth in use of
late trading and
lockups and
Malkiel-Saha study of
municipal bonds vs.
mutual funds vs.
naked short-selling andorigins of
regulation and
risks of
scandals and
Strunk’s list for
Henriques, Diana
Herr, Mark
Hibbard Brown
“hidden persuaders”
High and Low Financiers
High Risk Opportunities Fund
Holland, tulip bulb mania in
House of Representatives, U.S.:
Banking Committee of
Capital Markets subcommittee of
Interstate and Foreign Commerce Committee of
Telecommunications and Finance
Committee of
Howard, Christopher
“Hubris Template”
Hurtgen, P. Nicholas
Illinois, muni-bond scandal in
independent directors
Independent Research Network
index funds
fees for
India
Innovacom
Insana, Ron
insider trading
“Institutional Coverage”
Institutional Investor (II)
interest rates
International Asset Management
International Monetary Systems, Ltd.
Internet
financial fraud and
naked short-selling and
Silicon Investor Web site of
Internet companies, stock in
In the Matter of New York Stock Exchange Inc.,
Invesco
investigatethesec.com
investment banks
Investment Company Act (1940)
Investment Company Institute (ICI)
fund fees and
independent directors and
Securities Law Procedures Conference of
INVESTools
Investor Communications International (ICI)
Investor Relations Group
Investors Research Institute (IRI)
Investrend.com
Investrend Communications, Inc.
Investrend Research Coverage Platforms
Investrend Research Syndicate
IPOs (initial public offerings)
Stratton
Ireland
Iseson, Jonathan D.
Jacobson, Mary C.
Janus
Japan
John M. Dutton & Associates
Johnson, Andrea
Joint Report on the Government Securities Market,
Jones, Alfred Winslow
Jones, Paul Tudor
JPMorgan
Justice Department, U.S.
Kadlec, Gregory B.
Kanjorski, Paul E.
Kansas, muni-bond deals in
Karmel, Roberta S.
Kennedy, Joseph P.
Kenneth Lipper hedge funds
Kerns, Charles Joseph, Sr.
Ketchum, Richard G.
kickbacks
Kidder, Peabody & Co.
Klehm, Henry
Kott, Irving
Kovner, Bruce
Krispy Kreme
kurtosis
Kwalwasser, Edward
Lamont, Owen A.
Lebed, Jonathan
Lefèvre, Edwin
Lehavy, Reuven
letter-writing campaigns
Levin, Richard C.
Levitt, Arthur J., Jr.
as Amex head
Donaldson vs.
G-37 and
hedge funds and
independent directors and
as “Investor’s Champion”
price fixing and
Stratton settlement and
see also Take On the Street
Lipper
“lockups,” hedge funds and
Loessi, Edward J.
London stock exchange
“long”
Long-Term Capital Management (LTCM)
university endowments and
Loraca International
Lynch, Peter
McCaffrey, David P.
McGreevey, James E.
Mackay, Charles
McLean, Bethany
Mafia
Malkiel, Burton G.
Managed Funds Association (MFA)
MAR/Hedge
market makers
Market Reform Act (1990)
MarketWatch, MarketWatch.com
Markey, Edward J.
media
“bore” and
deferential coverage by
hedge funds and
microcap fraud and
mutual funds and
naked short-selling and
overseas investors and
SEC coverage of
Mercury fund
Merrill Lynch
advertising of
“Private Client Group” of
public image of
see also Rand Groves v. Merrill Lynch Pierce
Fenner & Smith Inc. and Llewellyn G. Ross
and National Association of Securities
Dealers Inc.
Meyers, G. Martin
MFS Funds
microcap stocks
fraud and
Internet and
Mob links and
short-selling and
short squeezes and
middle class, stock ownership by
Milken, Mike
Millennium Group
mining stocks
“Mispricing Template”
money managers
money market funds
Moody’s,
Morgan Stanley
Morningstar
mortgages, securitized
Motley Fool Web site
mPhase Technologies
MSN Money
Multi-Strategy Hedge Opportunities
municipal bonds
G-37 and
negotiated basis for
Philadelphia case and
regulation and
Municipal Securities Rulemaking Board (MSRB)
Murray, Brenda P.
Mutual Fund and Investment Management Conference
mutual funds
fees for
hedge funds vs.
independent directors and
market timing and
performance of
SEC 1992 history of
SEC 2003 study of
self-regulation and
mutual fund scandals
independent directors and
late trading
real
Mutual Funds Quarterly,
“Mutualingo”
Mysak, Joe
“naked”
naked call options
naked short-selling
as counterfeit stock scheme
Eagletech and
Essary’s efforts against
hedge funds and
House hearings on
Regulation SHO and
NASD
American Funds complaint of
California arbitrations and
microcap fraud and
naked short-selling and
short-sellers and
see also Rand Groves v. Merrill Lynch Pierce
Fenner & Smith Inc. and Llewellyn G. Ross
and National Association of Securities
Dealers Inc.
Nasdaq SmallCap Market
Nasdaq Stock Market
microcap stocks and
price fixing and
NASD Dispute Resolution, Inc.
National Association Against Naked Short-Selling (NAANS)
National Association of College and University Business Officers (NACUBO)
National Coalition Against Naked Shorting (NCANS)
National Investor Relations Institute (NIRI)
National Securities Markets Improvements Act (1996)
Nations Funds
NBC
NeoTherapeutics
Netsol
New Jersey, muni-bond deals in
New Jersey Arbitration Act
New Jersey Economic Development Authority
New Jersey Housing and Mortgage Finance Agency
New Jersey Transportation Trust Authority
Newsday
New Yorker
New York Post
New York Society of Securities Analysts (NYSSA)
New York State Supreme Court
New York Stock Exchange (NYSE)
arbitration and
D’Alessio’s suit against
floor of
independent directors of
self-regulation and
New York Times
New York Times Magazine
New Zealand
Ney, Robert W.
Nicholas, Nicholas J., Jr.
NJBIZ,
North American Securities Administrators Association (NASAA)
Ocelot
Odets, Clifford
offshore, hedge funds and
Oklahoma, muni-bond deals in
Online Investors Advantage
Oops! Template
options
call
on futures
O’Quinn, John
Ostrer, Mitchel E.
outsourcing
Over the Counter (OTC) Bulletin Board
over-the-counter (OTC) markets
short-selling and
Ownership Society
Packard, Vance
Paine Webber
pairs trading
Panayides, Marios A.
Paramount Securities
Pasciuto, Louis
pay-to-play
Penny King Holdings
penny-stock fraud
Penny Stock Reform Act (PSRA; 1990)
Penny Stock Task Force
pension funds
hedge funds and
Persico, Frank
Philadelphia muni-bond scandal
philanthropy, hedge fund
Pickard and Djinis
Pierce, Brent
Pilgrim, Gary L.
Pilgrim Baxter
Pines, Isidore
Pink Sheet stocks
Pitt, Harvey
Plunkitt, George Washington
politics
capture theory and
Wall Street and
portfolio diversification
portfolio turnover rate
Portugal
Porush, Daniel M.
Porush v. Prodigy,
President’s Working Group on Financial Markets
price fixing, stock and
private investment partnerships
Prodigy
P.T. Dolok Permai (International Asset Management; IAM)
Public Analysis & Review (PAR) program
“public arbitrator”
Public Policy Implications of Investment
Company Growth (SEC study)
pump-and-dump stock scam
Putnam fund group
pyramid schemes
Quantum Fund
quarterly fees, hedge fund
Quinn, Thomas F.
Rakoff, Jed S.
Rand Groves v. Merrill Lynch Pierce Fenner & amp;
Smith Inc. and Llewellyn G. Ross and National Association of Securities Dealers Inc.
appeal of
arbitration process before
courtroom rights and
Herr letters and
Random Walk Down Wall Street, A (Malkiel)
“reciprocal brokerage arrangements”
see also kickbacks; revenue sharing
Reed, John
Regulation by Prosecution (Karmel)
Regulation FD
Regulation S
Regulation SHO
Reminiscences of a Stock Operator (Lefèvre)
Remond, Carol
Republicans
research
nonpaid
paid
Retractable Technologies
Reuters
revenue sharing
“Reverse Rationality Theorem of Wall Street Crime and Punishment”
Revolutionary War
Rhino Advisers
Rigas, John
Rigas, Timothy
Rinaldo, Matthew J.
Robertson, Julian
Robin Hood Foundation
Ross, Llewellyn G.
Rowe, Frederick E.
Roye, Paul F.
Rule 22c-1
Russia, ruble devaluation in
Saha, Atanu
St. Louis Post-Dispatch,
Salomon Brothers
Salomon Smith Barney
S&P/Barra 600 Small Cap Value Index
Sanford C. Bernstein & Co.
Sarbanes-Oxley Act
Scheidt, Douglas
Schneider, Floyd D.
Second Circuit Court of Appeals
Securities Act (1933)
Rule 17b of
Securities Act (1934)
Securities and Exchange Commission (SEC)
accounting standards board of
Advisory Committee on Smaller Public Companies of
Altomare sued by
Bear’s settlement with
Eagletech and
G-37 rule and
GAO 2003 report and
hedge funds and
Investment Management division of
letter-writing campaigns and
microcap stocks and
municipal bonds and
mutual funds and
naked short-selling and
overseas stock scams and
Penny Stock Task Force of
price fixing and
Regulation SHO and
rulemaking process of
short-selling and
Stratton’s settlement with
uptick rule and
Wall Street analysts and
Securities Bureau
Securities Industry Association (SIA)
securitization
Sedona
self-regulation, self-regulatory organization (SRO)
capture theory and
hedge funds and
muni-bond scandals and
mutual fund fees and
mutual fund scandals and
naked short-selling and
overseas investors and
pay-to-play and
short-selling and
Wall Street research and
sell-side research
Senate, U.S.:
Banking Committee of
Governmental Affairs Committee of
Seventh Amendment
Shearson/American Express Inc. v. McMahon,
Shepard, Steve
Shipes, Barry
“short”
Shortbuster’s Club
short-selling
academic defense of
corporate crime revealed by
hedge funds and
mechanics of
naked, see naked short-selling
short squeezes and
uptick rule and
Wall Street view of
short squeezes
Silicon Investor Web site
Skilling, Jeff
“smart money”
Smeltzer, Karl C.
Smith, Rebecca
Smith Barney
Smith Barney v. Critical Health Systems
Social Security privatization
Sold Short (Asensio)
Solomon-Page Group Ltd.
Sorkin, Ira Lee
Soros, George
hedge funds and
offshore operations of
Sovereign Equity Management Group
Spain
specialists
“Spiders” and “Diamonds”
Spitzer, Eliot
hedge funds and
muni-bond scandals and
mutual fund fees and
mutual fund scandals and
stabilization rate
Standard & Poor’s (S&P)
Composite 1500
MidCap 400
stock index
Standard & Poor’s (S&P) 500
hedge funds vs.
Stanford University
Starnet Communications
State Street Capital Markets Corp.
Steinhardt, Michael
Steinhardt Management Corp.
Stem Genetics
Sterling Foster
Stewart, Martha
Steyer, Thomas
StockGate
stocks, stock markets
in Internet companies
microcap, see microcap stocks
middle-class ownership of
offshore pushing of
price fixing and
research on
self-regulation and
short-selling of, see naked short-selling
short-selling
see also mutual funds; specific exchanges
Stratton Oakmont
Strong Capital Management
Strong mutual fund group
Strunk, Harry
Sturc, John
Superinvestors
Supreme Court, U.S.
Surowiecki, James
swaps
Swenson, David
Switzerland
Taglich Brothers
Take On the Street (Levitt)
taxes
hedge funds and
Telescan
Thailand
TheStreet.com
TheTruthseeker.com
Thompson, Larry
Tiger funds
Titan Motorcycles of America
Tobin, Anthony L.
Treasury bills and bonds
Tremont Advisers
Trenton:
First Battle of (1776)
Second Battle of (1777)
Trueman, Brett
Tunstall, John H.
Tyco
Tyle, Craig S.
UBS Financial Services
UBS Paine Webber
Unified Capital Group
United States Court of Appeals for the Eleventh Circuit
Universal Express
uptick rule
U.S. Offshore Funds Directory,
U.S. Technologies
Utah, mining stocks in
value investing
Value Line
Vanguard Group
Van Kampen Investment Corp.
Waaco Kid
Wall Street Journal,
Wall Street Polices Itself (McCaffrey and Hart)
Washington, George
Washington Post,
Watson Wyatt Worldwide
Webster, William
Welles, Chris
Wellington Management
West Virginia, muni-bond deals in
White, Mary Jo
White, Ronald A.
Wilshire 5000 stock index
Winans, R. Foster
Winning the Loser’s Game (Ellis)
Wolfson, Allen Z.
Wolfson, David M.
Wolfson & Co.
WorldCom
World Gambling Plc
Yahoo!
Yahoo! Finance
Yale University
Young, Rodney
“Ziasun Eight”
ZiaSun Technologies
Bowen’s lawsuit against
Schneider vs
Telescan merger with