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Securities and FINRA Litigation

Securities and FINRA Litigation

Elluma Discovery has conducted extensive forensic analysis in FINRA arbitrations and securities-related litigation and provided relevant testimony before FINRA arbitration panels. When a database of customers and prospects is at issue, Elluma is one of a very small number firms who are able to conduct sophisticated database forensics.


When FINRA or securities cases involve claims of misappropriation of trade secrets, Elluma Discovery can help resolve questions surrounding how customer lists were transferred, how prospects or customers were solicited, and what types of communications occurred between parties. Using a combination of database forensics, electronic discovery and computer forensics, we can significantly advance the discovery process and uncover key facts and relationships in a litigation.

Some of the digital forensic services we provide include:

Forensic Services
  • Case strategy consulting

  • Identification and collection of evidence

  • Comparisons of databases

  • Analysis of customers and prospects list usage

  • Analysis of contacts to customers and prospects

  • Analysis of emails and documents

  • Generating chronologies of events via computer usage patterns

  • Online document review with industry-leading platforms

  • Document identification

  • Expert report generation

  • Expert witness testimony

Financial Litigation

How We Can Help You

Electronic Discovery


Computer Forensics



Securities &

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