SECURITIES EXPERT WITNESS CASE STUDIES

SEC Fines Company $50 Million For Covert Trading SECURITIES 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 Securities Exchange Commission found that the company misused information from …

Financial Company In Violation of SEC Terminates Whistleblower SECURITIES Expert Case

Financial Company In Violation of SEC Terminates Whistleblower

This case involves a whistleblower who was employed as a manager by a financial firm. The employee was tasked with projecting a sales quota for the coming quarter. In the course of preparing her report, she allegedly demonstrated that the firm had been ove …

SEC Expert Reviews Whistleblower Revenue Recognition Claims SECURITIES 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 …

Negligent Trust Management Leads To Multi-Million Dollar Loss SECURITIES Expert Case

…  funded, the trust account had about $25 million in securities and cash. The depositor of the trust account then swapped out good securities for junk bonds. Because of this, the beneficiary of the trust needed …

Programmer Analyzes Allegedly Fraudulent Billing Software SECURITIES Expert Case

This case involves suspected accounting fraud by a large pharmaceutical company. It was alleged that the company in question was acting in violation of the False Claims Act by billing for mislabeled drugs which were outside of the scope of a government con …

Investment Experts Discuss Bank Fraud SECURITIES 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 …