No One Would Listen: A True Financial Thriller (61 page)

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Authors: Harry Markopolos

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Order flow
 
and market intelligence
 
payments for
 
Organized crime
 
Over-the-counter market
 
 
Parkway Capital
 
Payne, Gerald
 
Pearlman, Lou
 
Penna, Nick
 
Personal danger
 
Petters, Tom
 
Pharmaceutical fraud
 
Picower, Jeffrey
 
Plaintiff’s firms
 
Plan administrators
 
Police department
 
Ponzi, Charles
 
Ponzi schemes
 
examples of
 
Harry Markopolos describes to SEC
 
human damage from
 
mechanics of
 
new money requirements
 
Weisman on
 
Ponzi scheme vs. front-running
 
Potemkin trading desk (front)
 
Professional ethics
 
Proof, legal vs. mathematical
 
Prospect Capital
 
Putnam Investments
 
 
Quants (quantitative analysts)
 
Qui tam
cases
 
Qui tam
provisions
 
Rampart Investment Management Company
 
Rampart Option Management System
 
Rampart Option Statistical Advantage
 
Rating agencies
 
Red flags
 
Regulatory corruption
 
Reid, Douglas
 
Realtors
 
Renaissance Technologies LLC
 
Reporting
 
Reverse engineering
 
Rewards
 
Ricciardi, Walter
 
Rich, Mark
 
Richards, Lori
 
Risk assumption
 
Roosevelt, Franklin Delano
 
Rosenthal, Stu
 
Royal Bank of Canada
 
Royalty
 
Russian default
 
Russian mafia
 
 
S&P 500
 
S&P 500 options
 
Sailing
 
Scannell, Peter
 
Schadt, Rudi
 
Schapiro, Mary
 
Schulman, Diane
 
Schumer, Chuck
 
Schwager, Jack
 
Secrecy
 
Securities and Exchange Commission (SEC):
 
2005 submission disclosure
 
audits
 
BDO mishandles Harry Markopolos filing
 
Bernie Madoff and
 
bounty program
 
changes at
 
Chuck Schumer call to
 
in congressional hearings
 
criminal investigation
 
damage by inaction of
 
danger from
 
disregards Harry Markopolos complaint
 
Division of Enforcement actions
 
double standard
 
examination team
 
excuses
 
first report to
 
Harry Markopolos meets Garrity
 
Harry Markopolos on
 
Harry Markopolos reports fraud to
 
Harry Markopolos visits
 
ignores Harry Markopolos complaint
 
impact on
 
incompetence of
 
informal inquiry
 
Inspector General
 
Inspector General findings
 
Inspector General investigation
 
Inspector General review
 
investigation of Bernie Madoff
 
jurisdictional problems
 
liability of
 
MARHedge
reporting
 
market timing complaint
 
New York regional office
 
New York office incompetence
 
Office of Economic Analysis
 
origins of
 
post BM arrest cover-up
 
powers of
 
regulatory priorities
 
rejects Harry Markopolos market timing investigation
 
resignations from
 
sovereign immunity and negligence
 
systemic incompetence
 
visits Madoff
 
warnings from others
 
whistleblower program
 
See
also
Cheung, Meaghan; Garrity,Mike; Kotz, David; Manion, Edward; Ward, Grant:
 
Securities and Exchange Commission (SEC) teams:
 
accounting
 
audit
 
enforcement
 
examination
 
inspection
 
investigative
 
Securities Exchange Company
 
Security
 
Segel, Jim
 
Seghers, Conrad
 
Self-regulation
 
Senate Banking Committee
 
Sennen
(sailing vessel)
 
Sherman, Brad
 
Short volatility
 
60 Minutes
 
Skilling, Jeff
 
Slatkin, Reed
 
Social networking
 
Société Générale
 
Sokobin, Jonathan
 
Sorkin, Ira Lee
 
Sovereign immunity and negligence
 
Spitzer, Eliot
 
Split-strike conversion strategy
 
State Street Corporation
 
Steiber, Heide
 
Stein, Ben
 
Stock picking
 
Strategy analysis
 
Structured products
 
Subsidization theory
 
Suh, Simona
 
Suicides
 
Sutton, Willie
 
 
Tax havens
 
Taxpayers Against Fraud .
See also
whistleblowers
 
Taylor, Hunt
 
Teahan, Kathleen
 
Teams. See fraud investigation team; Madoff investigation team
 
Terrorists
 
Tewksbury Investment Fund
 
Theft
 
The Nature of Risk
(Mamis)
 
“The World’s Largest Hedge Fund Is a Fraud” (Harry Markopolos)
 
Thomsen, Linda
 
Thorp, Edward
 
“To Catch a Thief”
(Absolute Return)
 
To Catch a Thief
(movie)
 
Trade tickets
 
Trading violations
 
Treasury bill (T-bill) holdings
 
Tremont (fund)
 
 
U.S. Coast Guard
 
 
Venus Cafe
 
Vijayvergiya, Amit
 
Neil Chelo talks with
 
Volatility
 
Vollmer, Andrew
 
 
Wall Street crimes
 
Wall Street Journal
 
Walsh, John
 
Ward, Grant
 
Washington Post
 
Wedding ring
 
Weil, Joseph
 
Weisman, Andrew
 
Werner, Chuck
 
Whistleblower program
 
Whistleblowers
 
compensation
 
fate of
 
funds to reward
 
hotline for industry
 
White, Jeb
 
Whitman, Massachusetts police department
 
Wickford Fund
 
Wilke, John
 
activities of
 
cancer
 
Wilson, Chris
 
Winnick, Burt
 
Witherspoon, David
 
 
Yardley Financial Services
 
 
Zucker, Bill
 
Zuckerman, Greg
 
Photo Insert
 
My family owned several Arthur Treacher’s Fish & Chips restaurants, where I got my start in the numbers game. It was also there that I made my first foray into fraud investigation when I caught a chef stealing fish.
 
PHOTO CREDIT: Niagara Falls (Ontario) Public Library.
 
Frank Casey on Wall Street. Casey first brought the Bernard Madoff case to my attention in 1999.
 

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