SECURITIES EXPERT WITNESS CASE STUDIES

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 …

Corporate Experts Comment on Proxy Regulations in “Poison Pill” Agreement SECURITIES 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 …

Mortgage Company Executives Face SEC Action Over Misrepresentations SECURITIES Expert Case

…  is a Securities and Exchange Commission enforcement action for fraudulent …  it to margin calls if the value of certain of its securities fell below certain thresholds, received more than $300 million in …  losses associated with its adjustable-rate-mortgage (ARM) securities were temporary and therefore did not need to be recognized in the …