SECURITIES EXPERT WITNESS CASE STUDIES

Banking Expert Discusses Alleged Breach in SEC Reporting Requirements SECURITIES Expert Case

This case involves a criminal matter against a bank and its individual officers, involving the bank’s reporting and disclosures of various loans. The tranche of construction loans under dispute were past their written principal maturity dates, current on  …

Derivatives Expert Opines on Banking Violations SECURITIES Expert Case

Derivatives Expert Opines on Banking Violations

This case involves a class of shareholders of a large commercial bank, who sought economic damages and alleged that the actions of the defendant, “the Bank”, were not in regulatory compliance. The shareholders maintained that the defendant engaged in d …

FINRA Witnesses Comments on Dispute Between Broker and Former Employee SECURITIES Expert Case

This case involves arbitration before FINRA in which a broker-dealer was sued by a former employee of the company. The employee alleged that he was not paid a bonus because of ulterior motives of the company, while the company alleged that the employee …

Securities Expert Witness Opines on Biotechnology Firm Valuation SECURITIES Expert Case

…  that plaintiffs had stated a claim against defendants for securities fraud. First, plaintiffs alleged that after Northfield had closed a …  in financial distress, and valuation of derivative securities for financial reporting and other purposes. Daubert …  24, 2006, and March 10 and 14, 2006.” Looking for a securities expert witness? Click here to find a vetted and screened …

Securities Expert Witness Evaluates Expired Stock Options SECURITIES Expert Case

Securities Expert Witness Evaluates Expired Stock Options

Case: First Marblehead Corp v. House, 541 F.3d 39 (2008) Background: Plaintiff First Marblehead Corp., a former employer, sued defendant Gregory House, a former employee, seeking a declaratory judgment that the employee’s stock options had expired t …

Broker-Dealer Breaches Contract With Investment Firm SECURITIES Expert Case

Broker-Dealer Breaches Contract With Investment Firm

This case takes place in Wisconsin and involves the loss of commissions due to an indirect purchase of a small independent broker. The plaintiff is a capital market investment firm that deals primarily with public school districts, offering public employee …