Retained to provide foreign exchange expert witness deposition testimony and report writing for regional and multination law firms.
Retained as an expert to investigate potential collusion, front running, or fraud of traded markets for multinational law firms.
Retained as an expert to provide pricing and product identification of currencies, metals, and equity indexes for multinational law firms.
Provided expert support and analysis for economic consultant to participating bank defendant in high profile precious metals fixing litigation; identified inaccuracies/vulnerabilities in the Complaint relating to mechanics and operations of London gold market & daily fixings.
Retained by court-appointed receiver to review and analyze trade records of defunct precious metals hedge fund & counterparties to determine whether counterparty actions, including possible benchmark manipulation, damaged defrauded investors.
Consulted for a national securities exchange undergoing an audit for compliance with an SEC Order.
Conducted a review of fixed-income trading and sales personnel activity for a broker-dealer in response to a FINRA trading inquiry.
Represented a derivatives trader and middle-office personnel from a global bank at on-the-record testimony before the CFTC investigating ISDAfix.
Conducted an insider trading review for an individual who received an SEC Wells notice.
Assisted a national securities exchange conducting a review of its electronic order types in response to an OCIE inquiry.
Advised a hedge fund regarding policies and procedures compliance, in preparation for an SEC exam.
Advised a high-frequency trading firm updating it policies and procedures manuals.
Conducted multiple insider-trading reviews of hedge fund portfolio manager & analyst teams.
Advised a broker-dealer reviewing a customer’s electronic order activity for potential manipulation of treasury market.
Represented a fixed-income trader at a global bank under investigation for aiding and abetting fraud by an RIA client of the bank.