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Abusive practices, 137-147 |
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backing away, 191-193 |
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Christie-Schultz study, 153 |
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continuation of price-rigging practices, 154-156 |
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coordinated activity, 207, 208 |
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delayed reporting of trades, 208, 209 |
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excused withdrawal, 193-195 |
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improper disclosure of customer orders, 209, 210 |
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1963 Congressional report, 138 |
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pricing convention, 200 |
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return trade courtesy, 209 |
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selective refusal to trade, 199 |
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sharing information/cooperating, 210, 211 |
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Simaan-Whitcomb study, 155, 156 |
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time stamping (audit trail), 207 |
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(See also Audiotaped conversations) |
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Acid test, 100-104 |
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Acrimony between market makers/SOES firms, 190 |
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Active trading, 115 |
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All-Tech, 187 |
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ALL TECH window, 10 |
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Ambition, 40, 41 |
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Analysis of stocks/markets, 97-100 |
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Arbitration, 184 |
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Asian investors, 125 |
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Assistant, 63, 64 |
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Audiotaped conversations: |
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backing away, 193 |
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excused withdrawal, 194 |
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improper disclosure of customer orders, 209, 210 |
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odd-eighth quote, 201 |
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sharing information/cooperating, 210, 211 |
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Audit trail, 207 |
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Author, 137 |
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David and Goliath fight, 164-168, 171, 172 |
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meeting with John C. Watson, 186 |
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obvious error, 184 |
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testifying before SEC, 176 |
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Averaging down, 119 |
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Ax, 84-88 |
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Bacon, Sir Francis, 129 |
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Bear Stearns meeting, 204 |
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Brady Commission, 170, 171, 192 |
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Built-in discipline, 32 |
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Bull market, 112, 113, 124, 125 |
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Burning desire, 117 |
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Caesar, Augustus, 100 |
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Capital requirements, 42-44 |
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Chinese market, 202, 203 |
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Choice of stocks, 123-125 |
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Christie-Schultz study, 153, 175, 204, 205 |
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Chronology of relevant events, 173-177 |
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Churchill, Winston, 166 |
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Civil class action suit, 151-154 |
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Class action, 151-154 |
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Cleaver, Eldrige, 146 |
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CNBC, 94 |
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