NASD & SEC Regulatory Compliance

This is the set of rules and laws that NASD and SEC members are obligated to follow and if not they could face civil enforcement action.

Case Study

Ponzi Scheme Expert in Forensic Accounting

A Ponzi scheme expert in forensic accounting was needed for a lawsuit filed by a bankruptcy trustee against an investor and major bank.

Case Study

Private Placements Expert in Series A Funds

A private placements expert in Series A Funds was needed for an action alleging negligence and fraud.

Case Study

Broker-Dealer Regulations Expert

A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case.

Case Study

SEC Compliance Expert with NASD Rule 11140 Experience

An SEC compliance expert with experience interpreting was needed for litigation regarding securities fraud and violation of SEC Rules.

Case Study

Retail Securities Expert in the Sale of Corporate Bonds

A retail securities expert in the sale of corporate bonds to the retail bond sales market was requested for a professional malpractice case.