Forensic Account and Supervisory Reviews

MGL is always happy to match your needs to the core competencies of the attorneys we work with.

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Current News:

January 1, 2017

FINRA District 6 Committee: Melinda ("Mimi") LeGaye has joined FINRA's District 6 Committee as a small firm representative.

 

 

Recent Events:

 

 

Forensic Account and Supervisory Reviews

In depth forensic account reviews are critical to the success of defending and or proving most securities litigation claims. MGL’s team of professionals can conduct a thorough review of a brokerage firm’s trading and sales practices and prepare counsel with reports detailing our findings and any potential violations of federal and state securities laws, as well as FINRA rules and regulations which may result from our review. Each report is tailored to the client and since we conduct the reviews, we can testify to the methodology surrounding their preparation and the results of such reviews, in court, enforcement and or an arbitration proceeding.

In any case, whether it is involves an administrative enforcement action, a civil complaint or an arbitration both sides are challenged to provide a complete, accurate and compelling analysis of the facts and circumstances which support their case. In this regard, MGL’s team of professionals can conduct the following reviews where needed:

  • Analysis of corporate emails
  • Evaluation of Use of Email Reviews by Supervisors
  • Anti-Money Laundering Audits
  • Analysis of Flow of Funds and Securities
  • Evaluation of Product Due Diligence and Vetting Processes
  • Evaluation and Testing of Supervisory Controls
  • Evaluation of Use of Exception Reports
  • Brokerage Account Sales Practice Reviews
  • Advisory Account Sales Practice Reviews
  • Analysis of Advisory Fee Calculations
  • Evaluation of training for compliance with FINRA Rules, as these activities relate to:
    • Alternative Investments
      • Non-traded REITs
      • Reg D Private Placements
    • Complex Products
  • Evaluation of Supervisor Training Programs
  • Evaluation of Supervision of alternative or complex products
  • Review of Trade Reporting