SECURITIES EXPERT WITNESS CASE STUDIES

Statistics expert witness advises on alleged mortgage-backed securities fraud SECURITIES Expert Case

A statistics expert witness advises on a case  involving an insurance company in South Dakota that brought suit against a mortgage capital company over a residential mortgage-backed security transaction. It alleges the mortgage company induced it to ente …

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 …

Company Sues Lender Over Changes in Their Refinancing Agreement SECURITIES Expert Case

This case involves two business owners who wanted to refinance their business property. The plaintiffs wanted to refinance with a limited recourse note, which would eliminate the possibility of personal liability. They went to a broker who recommended a co …