Securities Investigations

We have provided consulting and expert testimony services to firms involved in regulatory proceedings or under investigation by government agencies, including the SEC, the DOJ, the CFTC, and other regulatory agencies such as FINRA. Our work has included investigations and enforcement proceedings related to allegations of: 

  • Securities and broker-dealer fraud
  • Improper investment marketing practices
  • Market manipulation
  • FCPA violations
  • Insider trading and other white-collar issues
  • Financial statement irregularities 

We also have been retained on behalf of the SEC and FINRA in matters involving insider trading investigations, criminal investigations into suspicious financial activities, and alleged naked short-selling or investment marketing schemes.

The results of our analyses have been presented before the SEC in administrative proceedings and in federal courts, and used in settlement negotiations.  

Our multidisciplinary approach integrates practitioner-level experience in securities analysis with expertise in:

  • Financial economics – stock price effects and materiality
  • Securities valuation
  • Corporate governance and disclosure
  • Tax and accounting
  • Executive compensation and incentives
  • Complex securities and structured finance
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