BANKING EXPERT WITNESS CASE STUDIES

Financial Advisor Allegedly Violates FINRA Rules BANKING Expert Case

Financial Advisor Allegedly Violates FINRA Rules

This case takes place in New York and involves an individual who bought a variety of financial products through through the defendant. They never bought or invested in an individual stock, and had explicitly instructed the defendant as to their desire to  …

Bank alleges other banks breached standards on construction loan BANKING Expert Case

A building company and its owners owed a bank more than $13 million in loans. The loans were secured by all of the builder’s assets and the owners’ assets. One of the owners alerted the bank that he had overstated the assets of the building company whe …

Bank, parties argue over restructuring of bankrupt municipality’s finances BANKING Expert Case

Defendant bank, Wells Fargo, is the indenture trustee of a bankrupt municipality. The litigation stems from the plan for the adjustment of the municipality’s debts. The plan includes valuations for lease agreements on city-owned golf courses, parks and o …

Corporate Governance Expert Witness Examines Allegedly Lax FCPA Oversight BANKING Expert Case

In this case, a corporate governance expert witness was asked to opine on a shareholder derivative action on behalf of a nominal party, an oil and gas company, filed against its board of directors. The action alleges the board failed to install and maintai …

Bank Worker Fired After Taking Sick Leave BANKING Expert Case

Bank Worker Fired After Taking Sick Leave

This case involves a man who worked as a bank employee. The man had been working at his job for 25 years, and was one of the longest–serving employees due to the company’s low employee retention rate. The man became sick and started suffering from depress …

Legal Malpractice Implicated by Implied Attorney-Client Relationship BANKING Expert Case

This case involves a college student who drowned in his university’s pool. The student’s mother considered the possibility of filing a lawsuit but was too distraught to get an attorney in the case. The student’s older brother worked as a bank securit …

Finance Expert Witness Opines on Alleged Securities Fraud BANKING Expert Case

This case involves a class of shareholders suing the defendant corporation for securities fraud . They alleged that the defendant, a large national technology company, repeatedly misled the investing public about their main product, a computer-processing c …

Alleged Fraud and Breach of Fiduciary Duty at Ski Resort BANKING Expert Case

Alleged Fraud and Breach of Fiduciary Duty at Ski Resort

This case involves a foreclosure and subsequent counterclaim by the owner of a parcel of property at a ski resort. An appraisal of the ski resort put the valuation of the property at $21,000,000. A real estate developer decided to sell subdivisions of a pr …