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  • Corporate and Government Investigations
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Case

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.

Case

Revenue and Financial Reporting Internal Investigation

Cornerstone Research analyzed accounting and business records for a healthcare-related company.

Case

Leveraged and Inverse ETFs

On behalf of a financial institution, Cornerstone Research examined investor trading activity in leveraged and inverse ETFs.

Case

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.

Case

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.

Case

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.

Case

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.

Case

SEC Proceeding Regarding Municipal Debt Offering

The SEC dropped their investigation into the defendants’ municipal debt offering.

Case

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.

Case

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.

Case

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.

Case

Petro-Diamond Inc. v. Verdeo Inc. et al.

Counsel for Petro-Diamond retained Carlyn Irwin of Cornerstone Research in a case involving allegations of fraudulent transfer and alter ego.

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