Securities & Exchange Commission (SEC)

The SEC is an independent agency of the United States government which holds primary responsibility for enforcing the federal securities laws and regulating the securities industry, the nation’s stock and options exchanges, and other electronic securities markets.

Insight

IMS Expert Insights: Cybersecurity and the Next Generation of Risk and Liability

To help our clients better view today’s cybersecurity concerns and FTC proceedings, IMS interviewed D&O insurance and economics expert Perry Granof.

Case Study

Securities Investment Compliance Expert

A securities investment compliance expert was needed for a class action securities fraud action involving a financial services investment company.

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

Financial Auditing Expert in Related-Party Transactions

A financial auditing expert with experience in a Big 5 accounting firm was needed for a federal case of mail and wire fraud.

Case Study

Municipal Bond Market Expert in Municipal Securities

A municipal bond market expert was needed for an injunction against a violation of securities law.

Case Study

Regulatory Compliance Expert in Securities Trading

A regulatory compliance expert was sought for a securities investigation against an auditing firm concerning the disclosure obligations of an auditor.

Case Study

Brokerage Compliance Expert in Distressed Debt

A brokerage compliance expert with distressed debt experience was needed for an insider trading case.

Case Study

Financial Restructuring Expert in Judgments and Indebtedness

A financial restructuring expert in judgments and indebtedness was needed for a case seeking recovery of economic damages.

Case Study

Mutual Fund Expert in Economic Damages Analysis

A mutual fund expert experienced in the analysis of economic damages was needed for allegations of late trading.

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.