Securities, Futures, Derivatives Expert Witnesses. 20+ yrs as consultants in investment and trading litigation. Broker/customer disputes-stocks and bonds, options, commodity futures, currency trading.

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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.

Broker Dealer C E Ratio Churning Commissions To Equity Ratios Commission To Equity Ratios Commodities Commodity Cost Equity Ratio Currency Trading Day Trading Derivatives Divestiture Futures Hedgings Hedge Funds Investments Margining Mortgage Backed Securities Mutual Funds Nasd Nasdaq Nasddr Nasd Dr Nyse Options Penny Stocks Pension Investments Pension Plans Precious Metals Sec Securities Stock Stocks And Bonds Swaps Tax Shelters Trading Litigation Wall Street

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