Provided forensic accounting and data assistance in white collar defense matter

Provided forensic accounting and data assistance in white collar defense matter

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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