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Broker/dealer regulation and enforcement 2010
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Fundamentals of broker-dealer regulation 2013
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A practitioner's guide to FINRA sanctions analysis
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Broker/dealer regulation and enforcement 2011
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Fundamentals of broker-dealer regulation 2010
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Assessing the Madoff Ponzi scheme and regulatory failures
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Securities regulation
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Fundamentals of broker-dealer regulation 2012
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Fundamentals of broker-dealer regulation 2014
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Fundamentals of broker-dealer regulation 2009
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Fundamentals of broker-dealer regulation 2011
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The Madoff investment securities fraud
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The Madoff investment securities fraud
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