National Association Of Securities Dealers (NASD)

NASD regulates trading in equities, corporate bonds, securities futures, and options, with authority over the activities of brokerage firms, branch offices, and registered securities representatives.

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

Fixed Income Trading Expert in Securities Software

A fixed income trading expert with knowledge of software packages was needed for a contracts case addressing securities industry standards.

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

Securities Clearinghouse Expert in Dividend Distributions

A securities clearinghouse expert with knowkedge in securities clearinghouse behaviors and dividend distribution was needed for securities fraud litigation.