John Duval Associates, Securities Arbitration Consultants and Experts in Securities Litigation.

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
  • Forensic Analytics available through Kelly Associates