SECURITIES EXPERT WITNESS CASE STUDIES

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 …

Bank Owes Fiduciary Duty to Third-Party Investor SECURITIES Expert Case

Bank Owes Fiduciary Duty to Third-Party Investor

…  decided to recommend a bank customer of high valuation (a securities company) as a new potential partner for the man in the investment enterprise. The man later discovered that the securities company had a “creditworthiness” issue in the past. He consulted …

Expert Witness Helps CEO Beat Insider Trading Charges by Using Rule 10b5-1 Plan SECURITIES Expert Case

This case involves the CEO of a company that had a projected total revenue for the year of $nearly $20 billion. The CEO set the company’s internal targets $500 million higher than the public prediction to encourage company employees to surpass public tar …

Private Equity Fund Manager Violates Securities Act With Ponzi Scheme SECURITIES Expert Case

…  registration statements with the SEC as required by the Securities Act for any fund offerings. The trading partner received over …  managing partner and the trading partner for violating the Securities …

Finance Expert Witness Opines on Alleged Securities Fraud SECURITIES Expert Case

…  class of shareholders suing the defendant corporation for securities fraud . They alleged that the defendant, a large national technology …  misstatements and omissions that collectively amounted to securities fraud. Specifically, the defendant stated that the corporation …

Fiduciary Expert Witness Discusses Actions of Retirement Plan Sponsor SECURITIES Expert Case

This case involves a retirement plan sponsor who hired an adviser for the plan. The defendant worked for a small company, and had been an employee for over thirty-three years. Part of her job was to manage the retirement plan for the employees of the compa …