Microcap Fraud Investigations

Joe investigates microcap fraud for the people deciding what to do about it, whether that’s a law firm, a company, a brokerage, or an individual.

• Suspected manipulation, dilution, or promotion in a stock you hold or trade
• Pre-suit workups for private investor lawsuits, testing whether the records support the claims before a complaint is drafted
• Whistleblower complaints, building the documented record behind a submission to the SEC or another regulator
• Diligence on an issuer, financier, or counterparty before money moves
• Reconstruction after a loss: what happened, who was involved, where the money went, and what can still be traced

No two matters run the same. This is the general track, scaled to the matter, and the work only goes deeper where it can change the answer.

Scope

A confidential read of the matter and a conflicts check. Depending on what you are facing and where things stand, the engagement can be a higher-level assessment, a full reconstruction, or anywhere in between.

Records

Figuring out what records exist and where they live, from trading and brokerage data to bank records, transfer agent files, EDGAR and OTC Markets disclosures, and the promotion itself. When records have to be requested, Joe drafts the requests or helps counsel draft them.

Reconstruction

Trading reconstruction, bank analysis and fund tracing, ownership analysis, and promotion timelines, at whatever depth the question requires.

Findings

A written chronology and a findings memo that set out what happened, how it worked, and what the records do and do not show, with each point tied back to the exhibit behind it.

Next steps

The record is built to be used, whether for a whistleblower submission, a complaint, a negotiation, or the litigation that follows.

The same expertise behind Joe’s expert work drives the investigation phase. Jump to the areas your matter touches, or view them all in detail.

For nine years Joe was the principal investigator for the SEC’s Microcap Fraud Task Force, where he worked microcap fraud investigations from the first lead to the fully documented record. He knows which records exist, which questions decide these matters, and where they usually stall or go off track. He is a Certified Fraud Examiner with a background in finance and accountancy.

Every engagement starts with a conflicts check, covering current engagements and the matters Joe worked on at the SEC, and a confidential read of your matter. Share a short description, and Joe will respond within 1-2 business days. If it is a fit, the next step is a complimentary consultation to scope the work.

Three of the investigations Joe worked on.