Provided forensic accounting and data assistance in white collar defense matter

Provided forensic accounting and data assistance to counsel who represented a former executive of a Futures Commissions Merchant (“FCM”) accused of CFTC Regulations 1.25 and 30.7 violations relating to the safeguarding and investment of customer funds.  Work included: 1) gaining an overall understanding of the FCM’s systems and process used to generate and support the daily segregated and secured reports filed with the regulators; 2) retrieving, querying, and analyzing historical financial and operational data stored in over 200 SQL tables; 3) identifying transfers to and from customer segregated and secured accounts as well as transactions involving its broker dealer entity; and, 4) analyzing bank statement and general ledger detail as well as various operating records to identify the timing and magnitude of certain transactions.  Our analysis was a core component of expert reports prepared by a retired FCM operations director and in connection with the cross examination of opposing experts.

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