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  • Corporate and Government Investigations
Showing 25 - 36 of 65
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.

Press Release

Forbes Magazine Names Cornerstone Research to 2019 List of America’s Best Management Consulting Firms

Firm receives high marks across multiple areas of expertise.

Press Release

Cornerstone Research Promotes Yesim C. Richardson and Andrew D. Richmond to Senior Vice President

Financial institutions practice leader and Chicago office head recognized for exceptional leadership.

Case

SEC Proceeding Regarding Municipal Debt Offering

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

Press Release

Forbes Magazine Names Cornerstone Research to 2018 List of Best Management Consulting Firms

Firm receives high marks across numerous areas of expertise.

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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