Engaged for a case involving a historic, international Ponzi scheme with multi-billion-dollar claims. Provided compliance and governance expertise to analyze due diligence, KYC, and other material facts of the financial institutions involved.
Case ongoing.
Engaged by 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.
We'll update when it ends.
Engaged for a case 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.
Case settled for a 9-figure sum.
Engaged 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.
Civil case ongoing.
Retained to rebut an investment banking expert in a contract dispute. Provided opinions on registration requirements, fee suitability, and various compliance topics.
Case ongoing.
Engaged as KYC (Know-Your-Customer) and AML (Anti-Money-Laundering) compliance expert in banking for an international, online crypto fraud routed through a U.S. bank.
Case ongoing.
Engaged as a compliance expert in a fraudulent conveyance matter involving a futures commission merchant (FCM) subsidiary of a global banking organization.
Case settled in FINRA arbitration.
Served as a compliance expert in a 9-figure claim concerning material compliance failures in a public company’s 10-K disclosures.
Case settled for an undisclosed sum.