The Ponzi Book
A Legal Resource for Unraveling Ponzi Schemes
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By
Kathy Bazoian Phelps
and
Hon. Steven Rhodes (Ret.)


Published by
LexisNexis®

Kathy's New Book!
Ponzi-Proof
Your Investments
The Ponzi
Scheme Blog
CHAPTER 1 INTRODUCTION
1.01 Scope of Issues Arising in Ponzi Cases
1.02 Ponzi Scheme Defined
1.03 Statutory and Legal Basis for Administration of Ponzi Proceedings
1.04 Ponzi Schemes in the News
1.05 Red Flags in Ponzi Schemes

CHAPTER 2 ACTUAL FRAUDULENT TRANSFER CLAIMS
2.01 Introduction
2.02 Meaning of "To Hinder, Delay or Defraud"
2.03 Proof of Fraudulent Intent
2.04 Proof of Injury in Fact
2.05 Apportionment of Property Recovered
2.06 Recovery from the Entity for Whose Benefit the Transfer Was Made
2.07 Advantages to Actual Fraudulent Intent Claim for Relief
2.08 Prejudgment Interest

CHAPTER 3 CONSTRUCTIVE FRAUDULENT TRANSFER CLAIMS
3.01 Introduction
3.02 Less Than Reasonably Equivalent Value
3.03 Debtor's Financial Condition
3.04 Prejudgment Interest

CHAPTER 4 DEFENSES TO FRAUDULENT TRANSFER CLAIMS AND PREFERENCE CLAIMS
4.01 Introduction
4.02 Defenses Available to an Initial Transferee
4.03 Section 550(b)(1) Defense Available to a Subsequent Transferee
4.04 Statute of Limitations Defense

CHAPTER 5 CLAIMS TO AVOID PREFERENTIAL TRANSFERS
5.01 Introduction
5.02 The Bankruptcy Preference Statute
5.03 Transfer of an Interest of the Debtor in Property
5.04 To Or For the Benefit of a Creditor
5.05 On Account of an Antecedent Debt
5.06 Insolvency
5.07 The Investor Received More Than Chapter 7 Distribution
5.08 Defenses to Preference Claims

CHAPTER 6 PROPERTY INTERESTS AND EXPRESS, RESULTING AND CONSTRUCTIVE TRUST CLAIMS
6.01 Introduction
6.02 Interest of Debtor in Property
6.03 The Elements of Express, Resulting and Constructive Trust Claims
6.04 Use of Constructive Trust by Trustees and Receivers to Claim Interest In

              Third Party Property
6.05 Investor Claims Constructive Trust in Bankruptcy or Receivership Assets
6.06 Defendant's Defense To Fraudulent Transfer or Preference Claims

CHAPTER 7 TORT AND EQUITABLE CLAIMS AGAINST INSIDERS AND THIRD PARTIES
7.01 Introduction
7.02 Breach of Fiduciary Duty Claim Against Corporate Officers or Directors
7.03 Breach of Fiduciary Duty Claim Against Non-Insider Third Parties
7.04 Constructive Fraud
7.05 Negligence
7.06 Malpractice and Professional Negligence
7.07 Fraud
7.08 Aiding and Abetting Fraud
7.09 Aiding and Abetting a Breach Of Fiduciary Duty
7.10 Aiding and Abetting Negligent Misrepresentation
7.11 Aiding and Abetting a Fraudulent Transfer
7.12 Conspiracy
7.13 Breach of Duty of Good Faith and Fair Dealing
7.14 Tortious Interference with Contract Claim
7.15 Conversion
7.15 Unjust Enrichment
7.16 Constructive Trust
7.17 Accounting
7.18 Alter Ego

CHAPTER 8 DEEPENING INSOLVENCY
8.01 Introduction
8.02 Definition, History and Debate
8.03 Tort Claim for Deepening Insolvency
8.04 Deepening Insolvency as a Theory of Damages
8.05 Standing Issues in Pursuing Deepening Insolvency

CHAPTER 9 DISGORGEMENT CLAIMS AGAINST RELIEF DEFENDANTS
9.01 Introduction
9.02 The Key Features of a Disgorgement Claim Against a Relief Defendant
9.03 The Distinction Between Relief and Fraudulent Transfer Defendants
9.04 The Elements of the Claim

CHAPTER 10 STATUTORY CLAIMS. SECURITIES AND RICO VIOLATIONS
10.01 Introduction
10.02 Securities Laws Violations
10.03 Racketeer Influenced and Corrupt Organizations ("RICO") Act Violations

CHAPTER 11 EQUITABLE SUBORDINATION
11.01 Introduction
11.02 The Elements for Equitable Subordination
11.03 Inequitable Conduct
11.04 Harm to Other Creditors
11.05 Insiders of Debtor
11.06 Defenses to Equitable Subordination

CHAPTER 12 THE ECONOMIC LOSS DEFENSE
12.01 Introduction
12.02 Tort Damages Limited Where Claim Is Based in Contract
12.03 Exception for Existing Duty or Special Relationship

CHAPTER 13 STANDING
13.01 Introduction
13.02 Trustee Standing
13.03 Receiver Standing
13.04 Standing of Creditors
13.05 Standing Issues in Particular Claims for Relief

CHAPTER 14 THE IN PARI DELICTO DEFENSE
14.01 Introduction
14.02 General Principles of
In Pari Delicto
14.03 Distinction Between In Pari Delicto and Standing Issues
14.04 Applicability of
In Pari Delicto Defense to Trustees
14.05 Applicability of
In Pari Delicto as Against Receivers
14.06
In Pari Delicto Used Against Third Parties
14.07 Ways to Defeat the
In Pari Delicto Defense
14.08
In Pari Delicto Is Not Applicable Against Insiders
14.09
In Pari Delicto Usually Not Ripe for Consideration on Motion to Dismiss

CHAPTER 15 GATHERING EVIDENCE. PRIVILEGE ISSUES AND EXCHANGING INFORMATION WITH THE GOVERNMENT
15.01 Introduction
15.02 Privileges
15.03 Reporting Crime and Obtaining Evidence from the Government

CHAPTER 16 FORFEITURE PROCEEDINGS AND VICTIM COMPENSATION THROUGH THE CRIMINAL PROCESS
16.01 Introduction
16.02 Criminal and Civil Forfeiture Proceedings
16.03 Impact of Bankruptcy Filing on Forfeiture Proceeding
16.04 Interests of Third Party Claimants in Forfeited Property
16.05 Disposition of Forfeited Property Through the Remission Process
16.06 Restitution and Restoration in Criminal Ponzi Cases
16.07 Competition Between Parallel Forfeiture Proceedings and Civil
            Insolvency Proceedings to Compensate Ponzi Victims
16.08 Cooperation Agreements
16.09 Rothstein. A Case Study

CHAPTER 17 USE OF CONTEMPT PROCEEDINGS TO RECOVER ASSETS
17.01 Introduction
17.02 Civil Contempt Proceedings
17.03 Criminal Contempt Proceedings

CHAPTER 18 NON-RESIDENT AND FOREIGN DEFENDANTS, PERSONAL JURISDICTION AND SERVICE OF PROCESS
18.01 Introduction
18.02 Personal Jurisdiction
18.03 Service of Process

CHAPTER 19 FOREIGN PROCEEDINGS AND DISCOVERY ABROAD
19.01 Introduction
19.02 International Discovery. The Hague Convention or the Civil Rules?
19.03 Introduction to
Mareva, Anton Piller, and Norwich Pharmacal Orders
19.04 The
Mareva or Freezing Injunction
19.05 The
Anton Piller or Search Order
19.06 The
Norwich Pharmacal Order
19.07
Mareva by Letter

CHAPTER 20 ALLOWANCE OF CLAIMS AND DISTRIBUTION SCHEMES
20.01 Introduction
20.02 Types of Claims
20.03 Procedures in Submitting and Fixing Claims
20.04 Methodologies for Calculating Amount of Distribution on Claims
20.05 Additional Issues Impacting Distributions in Receivership Cases
20.06 Distributions in SPIC Proceedings

CHAPTER 21 PREJUDGMENT REMEDIES
21.01 Introduction
21.02 Rule 64. Seizing a Person or Property
21.03 Rule 65. Preliminary Injunctions and Temporary Restraining Orders
21.04 Distinguishing Rule 64 and Rule 65

CHAPTER 22 TAX ISSUES ARISING IN PONZI SCHEMES
22.01 Introduction
22.02 Earnings as Income
22.03 Tax Deduction for Losses
22.04 Qualified Settlement Funds
© 2017 Kathy Bazoian Phelps and Steven Rhodes