securities fraud
Investor deception crime
Securities fraud is deception in connection with the buying or selling of investments—stocks, bonds, or other financial instruments.
It encompasses schemes like insider trading, accounting manipulation, and misleading investors about a company's prospects.
Prosecutors pursue securities fraud under federal law; regulators like the SEC bring civil actions: The executives faced securities fraud charges after the company's collapse.
Swindler's surname, now generic
- pump and dumpFraudulent stock inflation scheme
- churningAgitated circular motion
- front-runningLeading a competition early
- insider tradingIllegal securities transactions using nonpublic information
market manipulation · boiler room · pyramid scheme · spoofing · layering · cherry picking · parking · scalping
False or misleading statement
- falsificationDeliberate alteration of truth
- forgeryCreating fraudulent imitations
- embezzlementFraudulent taking of entrusted assets
- briberyCorrupt payment for influence
kickbacks · manipulation · deceit · concealment · omission · fabrication · cooked books · self-dealing
Stock market regulator
- prosecutionPursuing legal charges
- indictmentFormal charge from jury
- felonySerious criminal offense
- sentencingImposing legal punishment
FINRA · investigation · subpoena · whistleblower · settlement · restitution · disgorgement · consent decree
- EnronFailed energy corporation
- con artistProfessional fraud perpetrator
- swindlerPerson who deceives for money
- scammerOne who defrauds others
rogue trader · insider · promoter · bucket shop · Sam Bankman-Fried
Ownership stakes or inventory
- bondsTies that unite
- derivativesThings derived from another
- optionsAvailable courses of action
- futuresContracts for future delivery
commodities · mutual funds · hedge funds · equities · penny stocks · promissory notes · cryptocurrency · IPO
Ponzi
Swindler's surname, now generic
- pump and dumpFraudulent stock inflation scheme
- churningAgitated circular motion
- front-runningLeading a competition early
insider trading · market manipulation · boiler room · pyramid scheme · spoofing · layering · cherry picking · parking · scalping
misrepresentation
False or misleading statement
- falsificationDeliberate alteration of truth
- forgeryCreating fraudulent imitations
- embezzlementFraudulent taking of entrusted assets
bribery · kickbacks · manipulation · deceit · concealment · omission · fabrication · cooked books · self-dealing · commingling
SEC
Stock market regulator
- prosecutionPursuing legal charges
- indictmentFormal charge from jury
- felonySerious criminal offense
sentencing · FINRA · investigation · subpoena · whistleblower · settlement · restitution · disgorgement · consent decree · debarment
Bernie Madoff
- EnronFailed energy corporation
- con artistProfessional fraud perpetrator
- swindlerPerson who deceives for money
rogue trader · scammer · insider · promoter · bucket shop · Sam Bankman-Fried
stocks
Ownership stakes or inventory
- bondsTies that unite
- derivativesThings derived from another
- optionsAvailable courses of action
futures · commodities · mutual funds · hedge funds · equities · penny stocks · promissory notes · cryptocurrency · IPO · prospectus
- crimesarson, burglary, robbery, kidnapping, vandalism
- wrongdoingmisconduct, crime, sabotage, crimes, misbehavior
- criminal lawcrime, felony, misdemeanor, murder, robbery
- fraudscam, swindle, con, deceive, cheat
- legal termstrial, legal, appeal, lawsuit, law
- litigationpleadings, lawsuit, plaintiff, complaint, lawsuits
securities fraudethical investing
Aligning portfolios with values
securities fraudinvestor protection
Laws shielding capital providers
full disclosure · financial transparency · fiduciary responsibility · whistleblowing · consumer protection
security, fraud, insecurity, securing, defraud, securely, fraudster, fraudulent, unsecured