144A Bonds Expert in Investment Banking

Case Description:

A 144A bonds expert witness search was needed for an investment banking class action suit alleging auditing malpractice and breach of fiduciary duty. The defendant in the case was an investment banking firm which had been retained as the independent auditor of a large healthcare corporation. Defendants allegedly allowed the corporation to falsify financial statements required by SEC regulations in order to inflate earnings.

IMS ExpertServices was asked to locate 144A bond experts with investment banking expertise to consult on how unregistered 144A bonds are priced and traded, how the private placement market works, and how buyers and sellers in that market interact.

Experts Presented:

  • Corporate Finance

    This expert in 144A bonds has almost twenty years of financial consulting and economic research experience in corporate finance, capital markets, financial institutions, and applied microeconomics. He’s a Ph.D. in economics who has briefed the Federal Reserve Board on capital market developments and clearing and settlement in securities markets. His research interests include adoption of SEC Rule 144A and the consequences, as well as venture capital processes for start-up firms. This expert is experienced at providing testimony and economic analysis before the Federal Energy Regulatory Commission and the California Attorney General’s office, as well as other venues. IMS Reference #3367223

  • Securities Trading

    This 144A bonds expert is a retired senior executive investment banker with over 35 years of experience in finance, investment banking, securities, and investment management. He is an SEC Series 7, 24, and 63 licensed securities trader. Before retirement, this expert traded, or managed teams that traded, over $100 million in revenue over the course of several years. His extensive professional experience provides him with a detailed understanding of virtually all facets of securities trading, including the pricing, trading, and distribution of unregistered 144A bonds. IMS Reference #5016962

  • Securities

    This 144A bonds expert has more than thirteen years of experience as an analyst and valuation specialist with expertise in venture capital, private equity fund structures, and hedge fund structures. This Chartered Financial Analyst, or CFA, is a nationally recognized expert on restricted securities, securities design, and levels of value who has authored publications on private placements and unregistered stock. This expert has served as a litigation consultant on several cases. He works with unregistered securities markets on a daily basis and is intimately familiar with the 144A bond market. IMS Reference #1215550

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Industry: All, Banking