AREAS OF EXPERTISE
We bring a wealth of knowledge to the
arbitration process, built from decades of industry experience,
in-depth study of SRO rules and participation in hundreds of security
arbitration cases, dozens of mediations and testimony in over
50 arbitrations and civil proceedings.
From our knowledge base we are able to help attorneys evaluate
and frame their cases, draft a Statement of Claim or Answer and
formulate a litigation strategy.
Our firm offers comprehensive industry experience in the following
areas:
• Suitability of investments and sales practice
• Supervision and compliance of branch offices, including
operations and administration
• Insurance, variable annuities, and variable life products
• Statistical analysis of risk and diversification
• Portfolio management and Modern Portfolio Theory
• Registered Investment Advisors and regulation
• Coordination of production of forensic profit and loss
analyses
• Recreation of historic risk profiles of client portfolios
from our archives of stock, mutual fund and variable contract
Morningstar disks
WHAT
WE DO