Activity:

• Investigated suspected fraud on an options trading desk at a large broker dealer. The investigation required examining four years of trading history, including mining the systems and examining the trades from this period in order to establish a pattern of fraud. The portfolio of trades were revalued and the appropriate market information reconstructed to create the evidence for the complaint.

Results:

• The project uncovered a systematic pattern of fraud on the options trading desk resulting in criminal litigation against internal parties. The evidence formed the basis for the complaint.