Serving clients since 1979 as experts and consultants in investment and trading litigation.

Areas of Expertise

Broker/Customer disputes
Stocks and bonds
Options, commodity futures and currency trading
Derivatives including swaps
Limited partnerships, hedge funds and managed futures
Marketing of securities, derivatives and related products
Insurance including bad faith, churning, twisting and other sales practices
Other areas involving markets, trading and economics, asset management
and pension investments
Tax matters, IRS examinations, appeals, and US Tax Court

Issues

▪ Churning (including criminal churning)
▪ Suitability
▪ Unauthorized trading
▪ Options abuse
▪ Lack of supervision
▪ Industry rules, standards and practice, compliance
▪ Other legal or economic work involving offering documents, marketing or new
product development

Services

Arbitration and litigation consulting
Initial account review
Forensic account analysis, damages and mitigation
Assistance drafting complaint and with discovery
Expert witness opinion, opposing expert critique, deposition and testimony
General securities and futures industry consulting
Economic and statistical analysis
Due diligence for securities and futures fund offerings
Valuation of industry firms for marketing purposes, IRS, and courts
Mediation

Professional Experience

More than 20 years as actual consultants in the securities and futures industries

Experienced as reviewer of customer complaints for major brokerage firms

Consultants to the NYSE, Options Clearing Corporation, CBOT, CME, COMEX,
Teachers Insurance and Annuity Association/College Retirement Equities Fund (TIAA/CREF), banks and other major clients

Have served as member of the Compliance and Legal Division of the Securities
Industry Association, Research and Trading Division of the Futures Industry
Association and various other industry-related groups

Have served as member of the Board of Arbitrators of NASD, NYSE, American Arbitration Association and National Futures Association

Mediator with NASD training

Tutor for industry competency examinations

Cases/Clients

We have worked for attorneys representing both plaintiffs/claimants and defendants/respondents nationally for two decades, including appearances in state and federal court in numerous states, various arbitration and commission proceedings, and US Tax Court.

Please call for a free initial consultation. No charge for travel time.