Stock Exchange Expert Witness

Court: United States District Court for the Southern District of Florida Jurisdiction: Federal Case Name: Remington v. Newbridge Sec. Corp. Citation: 2014 U.S. Dist. LEXIS 15867 In this financial dispute case, a FINRA expert’s testimony is challenged for allegedly lacking…

This is a securities class action case on behalf of purchasers of a company’s common stock from the company’s initial public offering over the course of 5 years. It was alleged that the company manipulated its performance by engaging in…

This case involves a dispute regarding the management of employee 401(k) profit sharing retirement plans. An investment advisory firm was tasked with managing investments and overseeing the fund. Allegedly, the investment advisory firm failed to diversify the investments of the…

This case involves a plaintiff private equity fund that owned zero coupon bonds convertible into the common stock issued by an entertainment company. The private equity fund converted its bonds and received fewer shares of common stock on conversion than…

This case involves a company that was fined $50 million by the Securities Exchange Commission for secretly trading its own program in its dark pool trading system. The Securities Exchange Commission found that the company misused information from its dark…

This case involves a company that manufactured virtual reality consoles. Allegedly, the company executives artificially inflated the company’s stock value by making statements that there was a high demand for their consoles. However, the company executives failed to disclose that company was…

This is a securities fraud case where a broker, the employee of a large asset management firm in Illinois, was accused of breaching his fiduciary duty. While soliciting loans from the firm’s clients and claiming personal financial distress, the broker allegedly…

This case involves trading that occurred on a major European stock exchange. The plaintiff, a liquidated private equity fund, owned zero coupon bonds convertible into common stock issued by a large entertainment firm based in Germany. The plaintiff converted its…

A group of shareholders brought a suit against the Board of Directors of a publicly traded company in Delaware. The Board had previously decided to implant a “poison pill” agreement, where any form of attempted takeover by the shareholders would…