Federal Courts:
Multi-Billion-Dollar Ponzi scheme: Retained by plaintiff as the compliance due diligence and procedures expert involving a historic, international Ponzi scheme with multi-billion-dollar claims. Provided compliance and governance expertise to analyze due diligence, KYC, and other material policies of the financial institutions involved. (US District Court, Northern District of Texas)
International crypto fraud: Retained by plaintiff as banking compliance expert in KYC (Know-Your-Customer) and AML (Anti-Money-Laundering) for an international, online crypto fraud routed through a U.S. bank for seven-figure claim. (US District Court Southern District of Florida)
Investment banking contract dispute: Retained by defense to rebut an investment banking expert in an eight-figure contract dispute. Provided opinions on registration requirements, fee suitability, and various compliance topics. (US District Court Southern District of New York)
Securities fraud criminal sentencing: Retained by defense, a CEO previously convicted of securities fraud and facing a potential 20+ year prison sentence. Providing expert opinion during sentencing on public harm related to insider trading, market manipulation, and the roles of investors, market makers, and other traders. (US District Court, District of New Jersey)
Public company bank’s 10-K disclosure failures: Retained by plaintiff as a compliance expert in a 9-figure claim concerning material compliance failures in a public company bank’s 10-K disclosures regarding compliance failures. (US District Court Northern District of Illinois)
State Courts:
Billion-Dollar insider trading & risk management fraud: Retained by plaintiff as the compliance due diligence and procedures expert involving a billion-dollar insider trading and risk management fraud during a secondary equity offering. Offered opinions on compliance, controls, information barriers, customer protection, and market manipulation. (Supreme Court of the State of New York) Case settled for a 9-figure sum.
Billion-Dollar securities civil fraud – mutual funds & derivatives: Retained by plaintiff as a mutual fund and derivatives expert in a billion-dollar securities civil fraud case, following the criminal conviction and imprisonment of the fraudster. Offered opinions on governance and control infrastructures for banks administering multi-series trusts for complex mutual funds. (Supreme Court of the State of New York)
Eight-figure civil suit against hedge fund: Retained as the hedge fund and compliance expert involving disclosure failures and trading losses. (Circuit Court of the 15th Judicial Circuit in and for Palm Beach County, Florida)
Complex identity theft scheme by FA; lack of supervision by national broker-dealer: Retained by plaintiff as the compliance due diligence and supervision expert involving complex identity theft, unauthorized trading, supervisory liability over eight-figure losses. (Superior Court of New Jersey)
Arbitrations:
Eight-figure losses in covered call strategy against national broker-dealer and FA: Retained by plaintiff as the compliance due diligence and options volatility trading expert involving unauthorized, unsuitable trading of a concentrated portfolio. (FINRA arbitration in Florida)
Multi-Million dollar fraudulent conveyance: Retained by plaintiff as the compliance due diligence and procedures expert in a fraudulent conveyance matter involving a bankrupt customer of a futures commission merchant (FCM) subsidiary of a global banking organization. (FINRA arbitration in New York)
Six-figure civil suit against fintech: Retained by plaintiff against a firm accused of churning, unauthorized, unregistered trading of a client account through an unregistered, off-shore FCM/broker-dealer. Opined on the registration requirements, suitability of recommendations, and supervision of a de facto commodity trading advisor and unregistered FCM/broker. (AAA arbitration in Florida)