STOCK EXPERT WITNESS CASE STUDIES

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

…  that owned zero coupon bonds convertible into the common stock issued by an entertainment company. The private equity fund converted its bonds and received fewer shares of common stock on conversion than it believed it was entitled to under the applicable …

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

SEC Fines Company $50 Million For Covert Trading

This case involves 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 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 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 bonds convertible into common stock issued by a large entertainment firm based in Germany. The plaintiff …

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

A group of shareholders brought a suit against the Board of Directors of a publicly traded company in Delaware. The Board had previously decided to implant a “poison pill” agreement, where any form of attempted takeover by the shareholders would grant  …

Economics Expert Evaluates Financial Obfuscation in Divorce Proceeding STOCK 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 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 …

Securities Expert Witness Opines on Biotechnology Firm Valuation STOCK Expert Case

…  to determine whether the price of a share of a company’s stock reacts quickly to new information. A valid event study attempts to control for a stock‘s usual volatility and to control for general movements of price within …