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Publisher: Emerald Group Publishing Limited

Volume 5, Number 3, 2004

Short sales: New rules and recent enforcement actions
pp. 9-14(6)
Authors: M. Weiner, Perrie; Totino, Edward; D. Weber, Robert

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Preventing Sarbanes-Oxley and other Whistleblower claims
pp. 15-20(6)
Author: L. Rosenberg, Jill

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Broker-dealer customer complaints
pp. 21-25(5)
Author: J. Donovan, Daniel

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Supervisory controls
pp. 31-34(4)
Author: L. Lavell, Joan

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Investment adviser: Failure of duty to supervise
pp. 35-41(7)
Author: M. Knoblock, Elizabeth

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Making the most of an internal investigation
pp. 64-66(3)
Author: Yormark, Ken

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The Use of fraud examiners in the battle against occupational fraud and abuse
pp. 67-71(5)
Authors: J. Machen, Monika; E. Richards, Robert

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