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EW #10434 has over 40 years of “hands on” Security Industry experience in securities related cases involving: Annuities, Best Execution Practices, Branch Supervision, Breach of Fiduciary Duty, Churning, Compliance, Concentration, Independent Contractor , Investment Advisory, Failure to Supervise, Market Making Manipulation, Misrepresentation, Mutual Funds, Penny Stocks, Restricted Securities, Sales Practice Violations, Securities Fraud, Trading—Institutional and Retail, Unsuitability and more. In addition to our securities consulting and expert witness services , ARC’S subsidiary, ARC Analytics specializes in “easy to read” comprehensive financial spreadsheets that include: Summary Report, Cash Flow Analysis, Trading Profit/(Loss), Income and Expenses, Return on Assets/Cost to Maintain/Turnover, Option Report, Purchases and Sales by Month.Customized reports are also available, based upon the needs of a particular case, including Benchmark Analysis, Market Sector (Concentration) Analysis, Loss Rescission Damage Calculation, Diversified Pro forma (Well Managed Account Theory) and Asset Allocation.

For those investors or attorneys who are unsure of the damages in an account and want an account analysis to quicklyand inexpensively determine the value of a potential case, ARC offers an Initial Account Analysis (IAA). Opening Values, yearly deposits and withdrawals of cash and securities along with income and expenses are compared to the ending equity providing an annual and cumulative profit/(loss) based upon cash flow. A one or two page concise report is provided to you divided into three sections:

(1)Cash Flow profit and (loss) annually and cumulative;
(2)Annual income and expenses figures;
(3)Annual turnover comparing total purchases to average equity.

Also included is a report providing
the percentage of profit or decline in the account versus the percentageincrease or decrease in the S&P 500, NASDAQ 100 and the Lehman Aggregate Bond Index during the period analyzed. This report does not provide an analysis of the individual investments purchased and sold or any commissions that may have been charged. Our mission is to provide “one stop Shopping”. Our client base consists of Attorneys and investors nationwide that understand the importance of having a “right arm” current with the latest Securities Industry Rules and Regulations, who can offer critical insight into Broker Dealer issues to provide valuable input into the Statement of Claim, Statement of Answer through mediation and/or the entire arbitration process..

Because of our years of Securities Industry Experience, the ARC TEAM can assist in recognizing “Red Flags” and assist in critical discovery issues that can expedite a settlement. Attorneys nationwide use our expertise to analyze statements and documents early on to assist in the preparation of the Statement of Claim.

With in depth knowledge of the multitude of documents and reports utilized by the various departments within a broker/dealer, we are able to improve Discovery Requests. We routinely participate as litigation consultants at Mediations and Arbitration Proceedings by providing the answers to questions that arise throughout the Case Proceedings and often testify as Expert Witnesses. They are litigation consultants and expert witnesses on matters involving the securities industry, serving clients nationwide. Information is available for investors and attorneys on their website.