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.

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

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

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

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

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