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Investigations Insider Trading & Market Abuse

Law & Forensics investigates suspected insider trading and market manipulation, examining trading records, communications, and access controls to determine whether individuals traded on material nonpublic information or engaged in manipulative practices.

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What we do

  • Trading and Communications Analysis

    We examine trading records, email and calendar data, and communications between traders and information sources, analyzing the timing relationships between information receipt and trading execution to identify suspicious patterns and assess alternative explanations.

  • Market Manipulation Investigations

    Our investigators have directed inquiries into insider trading by corporate insiders and investigated market manipulation schemes involving publicly traded companies, including matters resulting in substantial investor losses.

  • Financial Statement and Filing Review

    We analyze financial statements and SEC filings to identify fraudulent activities, drawing on deep experience with securities, market operations, clearance and settlement procedures, and the technical aspects of trading systems.

  • Regulatory Support and Expert Testimony

    We provide detailed investigation reports, support settlement negotiations and voluntary disclosures with regulators, and serve as expert witnesses in insider trading litigation.

  • Prevention and Surveillance Program Design

    We assist securities firms in implementing information barriers, surveillance protocols, and policies designed to prevent unauthorized trading on material nonpublic information.

Frequently asked questions

What do your insider trading investigations examine?

We examine trading records, communications between traders and information sources, and access controls to determine whether individuals traded on material nonpublic information or engaged in manipulative trading practices, analyzing the timing between information receipt and trading execution.

Can you support voluntary disclosures and regulatory cooperation?

Yes. We produce detailed investigation reports that can support voluntary disclosure to regulators and cooperation with SEC enforcement inquiries, and we support settlement negotiations with regulators.

Do you serve as expert witnesses?

Yes. Our team serves as expert witnesses in insider trading litigation, drawing on significant experience with securities, market operations, trading systems, clearance and settlement, and market surveillance mechanisms.

Do you help firms prevent insider trading before it occurs?

Yes. We assist securities firms in implementing information barriers, surveillance protocols, and policies designed to prevent unauthorized trading on material nonpublic information.

Related results

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