SEC EXPERT WITNESSES

SEC EXPERT WITNESS CASE STUDIES

Investment Firm Violates SEC Guidelines By Failing To Diversify SEC Expert Case

…  stock accounted for 38% of the fund’s portfolio, breaching SEC guidelines which stipulate that a mutual fund cannot invest more than 25% …  to suffer a loss of several hundred million. An expert in securities economics was sought to assess the loss incurred by employees from …

SEC Fines Company $50 Million For Covert Trading SEC Expert Case

SEC Fines Company $50 Million For Covert Trading

…  case involves a company that was fined $50 million by the Securities Exchange Commission for secretly trading its own program in its dark pool trading system. The …

SEC Expert Reviews Whistleblower Revenue Recognition Claims SEC Expert Case

This case involves complaints from various employees of a publicly traded company regarding their employer’s revenue recognition practices. It was alleged that the employer was recognizing revenue from high-tech and other specialized systems before their i …

Investment Experts Discuss Bank Fraud SEC Expert Case

Investment Experts Discuss Bank Fraud

…  was a class-action lawsuit under the Securities Exchange Act of 1934 against a major financial firm in West …  to disclose that they were under investigation by the Securities and Exchange Commission for making materially misleading statements …

SEC receiver seeks to recoup false profits from hedge fund investors SEC Expert Case

…  Securities and Exchange Commission filed an enforcement action against the …  operator pleaded guilty to a multi-count indictment for securities fraud, wire fraud, mail fraud and other charges. The SEC appointed a receiver who sued numerous hedge fund investors seeking to claw …

Corporate Experts Comment on Proxy Regulations in “Poison Pill” Agreement SEC Expert Case

…  believes there ought to be exceptions to the U.S. Securities and Exchanges Commission’s proxy rules, since the company had been …  power, a respected expert on rules and regulations of the Securities and Exchanges Commission was inquired after to testify about proxy …