STOCK EXCHANGE EXPERT WITNESS CASE STUDIES

Private Equity Fund Receives Low Conversion On International Bonds STOCK EXCHANGE Expert Case

…  that owned zero coupon bonds convertible into the common stock issued by an entertainment company. The private equity fund converted its …  formula. An expert in trading on the Hong Kong Stock Exchange was sought to discuss the plaintiff’s ability to purchase the …

SEC Fines Company $50 Million For Covert Trading STOCK EXCHANGE Expert Case

SEC Fines Company $50 Million For Covert Trading

…  a company that was fined $50 million by the Securities Exchange Commission for secretly trading its own program in its dark pool trading system. The Securities Exchange Commission found that the company misused information from its dark …

Asset Broker Accused of Neglected Fiduciary Duties STOCK EXCHANGE Expert Case

Asset Broker Accused of Neglected Fiduciary Duties

This is a securities fraud case where a broker, the employee of a large asset management firm in Illinois, was accused of breaching his fiduciary duty. While soliciting loans from the firm’s clients and claiming personal financial distress, the broker a …

Finance Experts Opine on Stock Conversion Dispute STOCK EXCHANGE Expert Case

Finance Experts Opine on Stock Conversion Dispute

…  case involves trading that occurred on a major European stock exchange. The plaintiff, a liquidated private equity fund, owned zero coupon …

Corporate Experts Comment on Proxy Regulations in “Poison Pill” Agreement STOCK EXCHANGE Expert Case

…  there ought to be exceptions to the U.S. Securities and Exchanges Commission’s proxy rules, since the company had been delisted as an …  expert on rules and regulations of the Securities and Exchanges Commission was inquired after to testify about proxy standards and …

Economics Expert Evaluates Financial Obfuscation in Divorce Proceeding STOCK EXCHANGE Expert Case

…  additional income to Roy, particularly when it came to stocks he allegedly earned from his former company, Sorce …  April 20, 2007, Sorce Enterprises effectuated a reverse stock split and bought back Roy’s share of his non-marital stock. Roy was no longer partial owner of the business. Roy sold his stock for …

Trustee of $15 Million Estate Treats it as His Own STOCK EXCHANGE Expert Case

Trustee of $15 Million Estate Treats it as His Own

This case takes place in Kentucky and involves a $15 million estate left by a father to his daughter. After receiving the estate, the daughter was severely injured in a car accident which left her brain damaged. For many years after her accident, her uncle …