Securities Law

Securities law is a form of regulation or supervision, which subjects financial institutions to certain requirements, restrictions and guidelines, aiming to maintain the integrity of the financial system.

Case Study

Hedge Fund Due Diligence Expert

A hedge fund due diligence expert was needed in a financial securities dispute involving alleged negligent monitoring of investment and failure to adhere to due diligence, customary investment standards and practices

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

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

Banking Industry Expert in Regulatory Compliance

A banking industry expert was needed to consult on banking regulations and industry standards for a securities fraud class action.

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

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.

Case Study

Fiduciary Duty Expert in Collateralized Debt Obligations

A fiduciary duty expert in fiduciary duty securities law and disclosure obligations was needed for arbitration in a failure to disclose issue.