Fraud investigations are conducted through the Fraud Consulting Division at Investment Fraud Solutions. We consult with individuals, family offices, law and accounting firms, corporations, and non-profits concerning the prevention and detection of outright theft from both investment fraud Ponzi schemes and traditional securities fraud perpetrated by FINRA and NFA-licensed investment professionals. Our thorough fraud investigations encompass the investment, investment management firms, principals, and third-party service providers.

​

Clients retain James to identify investment fraud risk exposure before investing in hedge funds, managed futures, private equity, or other alternative investments, or when warning signals arise with an existing investment or investment professional that may lead to fraud and a complete or partial loss of assets.

​

Consulting engagements are based on the scope of the risk assessment, investment complexity, and jurisdiction. Many clients begin with an initial assessment to evaluate their exposure to fraud risk. Depending on the warning signal severity and corresponding potential threat level, opt for a thorough investigation encompassing the investment, investment company, and principals, and third-party service providers. 

 

​James can be booked for one or two-hour telephone consults and video conference calls. This option is perfect for addressing any new or intermittent warning signal concerns that have alerted your ‘sixth sense’ but may not yet require a risk exposure assessment or extensive fraud risk investigation. James will meet with individual investors, investor groups, and fiduciaries at his office or your location, contingent upon availability.

​

​

Typical Consulting Assignments:

​

• Vet investment professionals to uncover intentional fictitious, exaggerated, or otherwise misleading educational and career information achievements including criminal, legal, and regulatory disclosures.

• Analyze that performance returns match the advertised strategy and correlate to established benchmarks. 

• Confirm the investment performance returns as real versus hypothetical.

• Validate the authenticity of exchange-traded securities and OTC derivatives trading records.

• Verify the existence and valuation of investor assets and AUM.

• Evaluate the policies, procedures, and ability of investment firms to both detect and deter ethical, regulatory, and legal wrongdoing which may lead to fraudulent activity.