Regulatory Compliance Expert in Securities Trading

Case Description:

A regulatory compliance expert was sought for a securities investigation against an auditing firm concerning the disclosure obligations of an auditor. SEC regulations require disclosure whenever bonds pay less than their advertised rate. The securities investigation resulted from the auditing firm's failure to disclose the actual interest rate for the bonds in question.

IMS ExpertServices™ undertook a regulatory compliance expert witness search for an expert with impressive credentials and authoritative knowledge of securities regulations and auditing standards for securities trading. The client sought a regulatory compliance expert with previous work experience with the Securities and Exchange Commissionpreferably in the areas of enforcement, examinations, and auditing of securities trading. A background in mutual funds auditing, and specifically municipal bonds, was preferred.

Experts Presented:

  • Accounting Standards

    This regulatory compliance expert has worked in the Office of the Chief Accountant at the Securities and Exchange Commission. He is a licensed CPA and a member of the American Institute of Certified Public Accountants. He has particular expertise in accounting standards and disclosure obligations, frequently consulting with numerous multinational companies on accounting and management issues. Currently he teaches graduate level courses in financial accounting and management accounting. He has held academic positions with such institutions as Wake Forest University, Dartmouth College, and MIT's Sloan School of Management. This expert holds a Ph.D. in accounting and an MBA from Cornell University.IMS Reference #2884935

  • Securities Law

    This expert in regulatory compliance issues was at one time the Chairman of the Securities and Exchange Commission and is a former Counsel to the President of the United States. He has extensive auditing experience working with some of the largest commercial businesses in the country. A graduate of the law school at Stanford University and a respected member of the American Bar Association, his knowledge of securities law regarding regulatory compliance practices in the securities industry and disclosure policies is exemplary. He can readily address industry standards for mutual funds auditing and specifically securities trading of municipal bonds.IMS Reference #4979972

  • Regulatory Compliance

    Widely published on the issues of regulation in securities trading, this regulatory compliance expert is a tenured professor and a former Chief Economist at the US Securities and Exchange. He is the author of several books on securities trading and the financial markets. He is also a frequent speaker at industry conferences and has been a consultant to the SEC, the NYSE, and investment banking giant Bear Sterns. Most importantly, this expert has devoted a lifetime of study to the regulation of securities trading and has a thorough understanding of auditing responsibilities and disclosure obligations.IMS Reference #4980029

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