Bibliography

This is a bibliography that will serve to supplement issues raised in the work of Deep Capture.

Academic Articles on Naked Short Selling

Strategic Delivery Failures in U.S. Equity Markets, by Leslie Boni. June 25, 2005. (PDF)

Short Selling, Death Spiral Convertibles, and the Profitability of Stock Manipulation, by John D. Finnerty. Professor of Finance, Fordham University. March 2005. (PDF)

Academic Articles on Regulatory Capture

Regulatory Capture Revisited – Lessons from Economics of Corruption, by Frédéric Boehm. PhD Economics, Anti-Corruption Training & Consulting (ACTC), and Research Center in Political Economy (CIEP, Universidad Externado de Colombia), Working Paper, July 2007. (PDF)

“The Situation: An Introduction to the Situational Character, Critical Realism, Power Economics, and Deep Capture,”, by Jon Hanson, & David Yosifon. 152 University of Pennsylvania Law Review 129 (2003).

The Politics of Government Decision-Making: A Theory of Regulatory Capture, by Jean-Jacques Laffont and Jean Tirole.  The Quarterly Journal of Economics, Vol. 106, No. 4 (Nov., 1991), pp. 1089-1127. (PDF)

The Theory of Economic Regulation, by George J. Stigler. Bell Journal of Economics, 1971, vol. 2, issue 1, pages 3-21. (PDF)

Bear Stearns

Bringing Down Bear Stearns, By Bryan Burrough. Vanity Fair, August 2008.

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Bringing Down Bear Began as $1.7 Million of Options, by Gary Matsumoto. Bloomberg.com, August 11, 2008.

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Inside the Bear Stearns Boiler Room, by William D. Cohan. Fortune, March 3, 2009.

Naked Short Selling

Goldman Targeted by Investor Complaints of Naked Short Selling, By Pierre Paulden and Caroline Salas. Bloomberg.net, November 17, 2008.

Naked Short Sellers – Time To Run For Cover?, by George Brooks. Equities Magazine, August 2008. (PDF)

Blame the ‘Stock Vault’?: Clearinghouse Faulted On Short-Selling Abuse; Finding the Naked Truth , By John R. Emshwiller and Kara Scannell. Wall Street Journal, July 5, 2007. (PDF)

Naked Short Sellers Hurt Companies With Stock They Don’t Have, By Bob Dummond. Bloomberg.com, August 4, 2006.

Covering Up Naked Shorts, By Harvey Pitt. Forbes.com, July 11, 2006.

The curious incident of the shares that didn’t exist, by Helen Avery and Peter Koh. Euromoney, 28 March 2005.  (PDF)

Organized Crime

Russian Emigres Run Afoul of Stock Regulators, by Leslie Eaton.  The New York Times, January 14, 1997.

Ivana Get Rich: The Donald’s ex gets mixed up with some questionable characters, by Bill Alpert. Barron’s, December 7, 1998.

The Ivana Channel, Part II: Are crooks trying to boost Tel-Com shares? Barron’s, December 14, 1998.

The Company She Keeps: The crowd around Ivana’s latest business venture makes Donald look sweet, by Bill Alpert. Barron’s, November 1, 1999.

Police Link Organized Crime to Stock Scam, By Tony Van Alphen & Nick Pron. The Toronto Star, February 28, 2007.

Real Estate Executive with Hand in Trump Projects Rose from Tangled Past, by Charles V. Bagli. The New York Times, December 17, 2007.

Pequot Capital Management

S.E.C. Judge Says Pequot Case Wasn’t Mishandled, By Walt Bogdanich. The New York Times, November 11, 2008.

Report Says S.E.C. Erred on Pequot, By Gretchen Morgenson and Walt Bogdanich. The New York Times, August 4, 2007.

SEC Will Be Investigated in Probe Sought by Senate’s Grassley, By Otis Bilodeau.  Bloomberg.com, October 26, 2006.

S.E.C. Inquiry on Hedge Fund Draws Scrutiny, By Walt Bogdanich and Gretchen Morgenson.  The New York Times, October 22, 2006.

S.E.C. is Reported to be Examining a Big Hedge Fund, By Walt Bogdanich and Gretchen Morgenson. The New York Times, June 23, 2006.

Sedona

Naked Justice?, By Liz Moyer. Forbes.com, August 29, 2006.
Masterminding a firm’s demise?, By Todd Mason. The Philadelphia Inquirer, April 23, 2006.

Watch Out, They Bite! : How Hedge Funds Tied to Embattled Broker REFCO Used “Naked Short Selling” to Plunder Small Companies, by Daniel Kadlec. Time, 14 November 2005.

Moving the Market — Tracking the Numbers / Street Sleuth: `Naked Shorting’ Case Lurks in Refco’s Past — Probe Involves Firm’s Role In Alleged Effort to Depress Stock of Software Concern , By John R. Emshwiller. The Wall Street Journal, 20 October 2005.