A leading financial services organisation engaged a CurbyMcLintock partner after concerns were raised about a Client Advisor allegedly executing unauthorised trades across multiple client accounts, trades that resulted in significant financial losses and potential regulatory exposure.
A targeted forensic investigation was undertaken, combining detailed trade analysis, transaction reconstruction, and advanced data analytics to synthesise information from several of the organisation’s internal banking systems. This approach enabled us to identify irregular trading patterns, assess the accuracy of client instructions, and establish whether the conduct was deliberate, negligent or system-enabled.
Our investigators conducted a comprehensive interview with the trader, during which further discrepancies emerged. The individual was subsequently dismissed.
A formal investigation report was produced, setting out clear evidence of unauthorised trading activity and the falsification of documentation. This report was provided to ASIC to support the organisation’s regulatory obligations and ensure transparent escalation of the misconduct.
