What Types of Evidence Are Typically Used in Forgery, Conversion, or Theft Cases? - Transcript

Highly Experienced Securities Lawyers Discuss How to Effectively Build a Case
Evidence is the cornerstone of any legal case, and cases involving forgery, conversion, or theft are no exception. In securities disputes, identifying the right types of evidence is essential to proving misconduct and holding wrongdoers accountable. At Malecki Law, our New York securities lawyers meticulously examine all available evidence to ensure your case is as strong as possible.

Forgery cases hinge on proving that a document or signature has been falsified. The evidence often includes:

• Disputed Documents: Original contracts, account statements, or authorization forms that allegedly contain forged signatures.
• Signature Analysis: Handwriting experts are often used to compare signatures and determine whether they match known examples.
• Digital Forensics: In cases involving electronic forgery, metadata and digital footprints can reveal whether a document was altered or fabricated.
• Visual Evidence: Techniques such as overlaying signatures to identify cut-and-paste jobs or inconsistencies in ink or handwriting.

For instance, if a broker submits a document authorizing a trade without the client’s knowledge, an expert can analyze whether the signature was forged or digitally manipulated. Malecki Law works closely with forensic experts to uncover discrepancies and build a compelling case.

Conversion involves the unauthorized use or transfer of property, often financial assets. In these cases, the evidence typically focuses on tracking the flow of funds. Common types of evidence include:

• Bank Statements and Transaction Records: These documents help trace where the money went, identifying unauthorized transfers or withdrawals.
• Internal Communications: Emails, texts, or other correspondence that reveal discussions about the improper use of funds.
• Audit Trails: Detailed records that show the movement of assets within accounts, including timestamps and authorization levels.
• Compliance Reports: Documentation from brokerage firms indicating whether supervisors were monitoring the transactions properly.

For example, if funds were transferred from a client’s account to an unknown third party, transaction records can reveal the recipient and the path of the funds. Malecki Law helps clients “follow the money” to expose wrongdoing and recover lost assets.

Theft involves the outright taking of assets without authorization. In securities disputes, this can include embezzlement or unauthorized withdrawals. Evidence in theft cases often includes:

• Account Statements: Highlighting missing funds or unauthorized activity.
• Surveillance Evidence: In some cases, video footage or system logs can show who accessed accounts and initiated transactions.
• Witness Testimony: Statements from colleagues, supervisors, or clients who can corroborate the theft.
• Forensic Accounting Reports: Expert analysis of financial records to identify discrepancies or red flags.

In addition to tracking where the assets went, it’s also critical to identify whether any oversight failures contributed to the theft. Malecki Law examines supervisory practices to determine whether negligence by the brokerage firm played a role.

Many forgery, conversion, and theft cases involve questions of supervision. Brokerage firms are legally obligated to monitor their employees and maintain policies to prevent misconduct. When firms fail to enforce these safeguards, it can create an environment where misconduct flourishes.

Evidence of failed supervision may include:

• Policy and Procedure Manuals: Demonstrating whether appropriate safeguards were in place.
• Compliance Logs: Showing whether red flags, such as large or unusual transactions, were ignored.
• Employee Performance Records: Identifying brokers with histories of misconduct or complaints.
• Regulatory Filings: Reports submitted to FINRA or the SEC that may reveal prior issues with compliance.

If a firm’s lack of supervision contributed to your financial losses, Malecki Law will work to hold the firm accountable for its failures.

Forgery, conversion, and theft cases often rely on a combination of financial, forensic, and supervisory evidence to uncover misconduct. If you’ve suffered losses due to these types of misconduct, Malecki Law is here to help. With over 20 years of experience in securities law, our attorneys are dedicated to protecting your rights and building a strong case to recover your losses.

Call us today at 212-943-1233 to speak with a New York securities law attorney or complete our confidential online contact form. Let us provide the support you need to hold the wrongdoers accountable and secure the justice you deserve.

Transcript:

So with forgery obviously you’re looking for signatures that don’t match you’re looking for cut and pasted signatures from different documents into another with fraudulent transfers and conversion you’re going to follow the money yeah where’d you go you know where did it wind up and how did it get there so that’s really the evidence in those cases and who was supposed to supervise and what did they do or what did they fail to do.