SECURITIES EXPERT WITNESS CASE STUDIES

SEC receiver seeks to recoup false profits from hedge fund investors SECURITIES 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 …

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 …

Company Delays Product Launch to Avoid Payouts to Securities Holders SECURITIES Expert Case

…  device company that allegedly breached its contract with securities holders. The company intentionally delayed the process of FDA …  device in order to avoid performance based payouts to securities holders. As a result of doing so, the medical device company is …