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Review of Case Materials
Reviews records, documents, testimony, data, and other relevant materials and consults with counsel regarding technical issues related to the matter.
Provide Expert Analysis
Applies specialized knowledge and experience to evaluate the technical or professional issues involved.
Form Expert Opinions
Develops independent, supportable opinions based on the available evidence and relevant standards.
Prepare Expert Reports
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Relevant materials can include the campaign or offering page, financial statements, funding targets, investor or contributor communications, platform records, transaction histories, fee records, offering documents, projections, disclosures, and records showing how proceeds were received or used. For a securities offering under Regulation Crowdfunding, SEC rules require specified issuer disclosures and use of an online intermediary registered as either a broker-dealer or funding portal. The precise records needed will depend on whether the dispute concerns the issuer, platform, investors, communications, or movement of funds.
Crowdfunding can describe several fundraising models. Some campaigns seek donations or offer rewards, while securities crowdfunding involves investors purchasing an ownership or other securities interest. Regulation Crowdfunding is a specific federal securities framework that allows eligible companies to raise capital through an SEC-registered broker-dealer or funding portal. The SEC currently describes Regulation Crowdfunding as permitting offerings of up to $5 million within the applicable 12-month framework. A Crowdfunding Expert Witness matter should therefore identify the particular fundraising model before applying securities-specific concepts.
In a Regulation Crowdfunding offering, a funding portal can operate the online platform through which the offering is conducted. Records may include issuer submissions, investor communications, offering information, transaction records, account information, and documentation of platform procedures. Funding portals must register with the SEC and become members of a registered national securities association, which currently means FINRA. Regulation Crowdfunding and FINRA rules impose requirements involving recordkeeping, supervision, issuer background checks and platform-access review, disclosures, and investor protection. An appropriately qualified expert can evaluate platform records and processes within the scope of the assignment, while the permissible scope of opinions concerning regulatory compliance depends on the applicable law and rules of evidence.
Prepares clear, well-supported expert reports outlining methodology, analysis, findings, and opinions.
Provide Deposition Testimony
Explains findings and opinions under oath and responds to questioning during deposition testimony.
Testify in Court
Presents specialized findings and opinions clearly to judges, juries, arbitrators, or other decision-makers.
Campaign or offering materials may describe how raised funds are expected to be used, such as product development, operations, hiring, expansion, or another stated purpose. A dispute can require comparison of those representations with bank records, accounting records, transaction histories, budgets, and subsequent communications. For Regulation Crowdfunding offerings, SEC disclosure requirements include information concerning the purpose and intended use of offering proceeds. An expert can trace the financial record and identify discrepancies or limitations without deciding whether a representation was legally fraudulent or misleading.
