Microcap Litigation Support

Consulting work behind counsel, at whatever stage the case is in, with the evidence review aligned to the specific claims in play.

• Discovery strategy: mapping which records exist and who holds them, then drafting or helping counsel draft the requests and subpoena riders
• Production review: working through voluminous mixed productions, removing duplicates, and isolating the records that bear on the claims
• Trading, bank, and ownership reconstruction behind pleadings, motions, and the positions taken in mediation
• Presenting the evidence: helping counsel tell the story clearly, with timelines and exhibits built from the record
• Review of opposing expert reports and declarations against the records they cite, including the analyses never run and the numbers never verified
• Damages, disgorgement, and prejudgment-interest analysis in support of counsel
• Deposition preparation: record-grounded lines of questioning for brokers, transfer agents, promoters, and financiers

Some matters arrive with an investigation Joe already built, and that record is ready for counsel to use. Others start here. Consulting and testifying are separate roles, so which one Joe fills is decided with counsel up front. Keeping them apart protects the independence of expert testimony. It also keeps consulting work out of discovery.

The same expertise behind Joe’s expert work drives the support role. Jump to the areas your case turns on, or view them all in detail.

For nine years Joe was the principal investigator for the SEC’s Microcap Fraud Task Force, where his work supported the Commission’s attorneys from investigation through litigation and judgment. He knows what microcap productions tend to contain, which requests actually produce them, and what the numbers will and will not support once the other side tests them. He is a Certified Fraud Examiner with an academic background in both 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.

SEC v. Contrarian Press

S.D.N.Y. · 2016

A stock promotion case in which the issuer’s own CEO secretly wrote and paid for the newsletters recommending his company, hiding behind an alias and a publishing company he owned. Read the full matter.

Declaration opposing transfer of venue Doc. 42 · 7 pp · 2 exhibits

The declaration set out Bluesheet analysis covering more than 10,000 trades across 28 data fields, identifying over 4,000 investors located in the district. It was filed to oppose the defendants’ motion to transfer venue, and the court kept the case where counsel brought it.