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.