Financial Reporting Investigation Following SEC Inquiry
Cornerstone Research was retained by counsel for an investigation into an entity’s financial statement close and reporting process in response to issues raised by the SEC.
Revenue and Financial Reporting Internal Investigation
Cornerstone Research analyzed accounting and business records for a healthcare-related company.
Leveraged and Inverse ETFs
On behalf of a financial institution, Cornerstone Research examined investor trading activity in leveraged and inverse ETFs.
Trading in ETF Basket Securities by an Authorized Participant
Counsel for an ETF sponsor retained Cornerstone Research to examine the potential manipulation of the NAV of certain fixed-income ETFs through trading in the market for the underlying bonds.
Trading in ETF Shares by Affiliated Parties
Cornerstone Research assisted a financial institution with its internal investigation into trading in ETF shares by affiliated parties.
Valuation of Odd-Lot Holdings of Securities by ETFs
The SEC did not pursue its investigation into the ETFs’ valuation of certain odd-lot holdings.
Regulatory Matter Involving Alleged Failure of an Auditor to Detect Fraud
The regulator ended its investigation without filing charges in an investigation involving a foreign affiliate of a large audit firm.
SEC Proceeding Regarding Municipal Debt Offering
The SEC dropped their investigation into the defendants’ municipal debt offering.
Securities and Exchange Commission v. BankAtlantic Bancorp Inc.
The jury found in favor of the defendants on all counts in this civil suit filed by the SEC.
Securities and Exchange Commission v. Ferrante
The defendant disgorged investment yields and paid a fine to resolve allegations in this case involving alleged EB-5 program fraud.
Newage Garden Grove LLC et al. v. SMA Portfolio Owner LLC et al.
Defense counsel retained Carlyn Irwin, a principal at Cornerstone Research, in this case that involved a suit for breach of contract.
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