Securities Litigation and Consulting

Our securities practice covers a broad spectrum of trading and investment consulting and litigation services, including fraud on the market type claims (Rule 10(b) and Section 11), market manipulation and insider trading issues, derivative investment product and model review, trading and investment fraud and negligence assessment (securities, commodities, options, derivatives, foreign exchange, mortgaged-backed instruments, fixed income, and other financial instruments and markets). 

We have testified and consulted as experts in market manipulation matters involving commodity and foreign exchange markets, securities markets, and over-the-counter derivative instrument markets. We have consulted with and served as experts for the U.S. Securities and Exchange Commission (SEC) on a range of trading issues, including insider trading.

Serving as consulting experts on numerous securities fraud matters, we have provided analysis of individual stockholders and institutional damage claims, insider transactions, trading behavior, and loss causation. We are often called upon to provide thorough and rigorous analytical examinations of liability and damage claims. We also actively participate as consultants in the negotiation and settlement process and/or testify at trial as expert witnesses.  We have been the experts for both defendants (Sears, Waste Management) and for shareholders against companies (Anicom, Tyco).

We have substantial experience in analyzing various types of trading and investment fraud and negligence assessment.  Our engagements have encompassed churning, international trading and investment issues, investment margining and involuntary liquidation issues, hedging, suitability, tax and regulatory issues, and unauthorized trading.  We bring to these engagements actual experience as well as expertise to ascertain whether an account was over-traded or "churned" or whether the characteristics of transactions were appropriate or "suitable," which requires more than merely counting transactions and calculating profits.

We have extensive experience in providing in-depth analysis of balance sheet and credit risk as well as a variety of derivative investment issues, including the analysis of trading and investment related to interest rate swaps, swaptions, structured notes, foreign exchange, mortgage-backed securities, asset-backed securities, credit derivatives, futures, calls, puts, and exotic options.