We assist clients with the following:

• Investor suitability claims ­– Our analytical models and thorough understanding of the NYSE “Know Your Customer” rule allow us to provide empirically sound comparisons to brokers’ recommended asset allocations to determine whether and to what extent an investor’s portfolio may have been overweighted in risky securities
• Portfolio risk analysis ­– Using our in-depth knowledge of portfolio management, statutory and regulatory requirements, industry practices, empirical research and developments in financial theory, we assess the investment decisions of portfolio managers, including a portfolio’s exposure to risk
• Securities valuation – Our professionals use carefully constructed securities trading models to value securities and derivatives such as options strips, swaps and other financial instruments for clients involved in valuation disputes
• Investment due diligence – We perform thorough due diligence investigations for securities broker/dealers and investment advisors based on our intimate familiarity with regulatory and industry standards in the securities field
• Securities fraud and insider trading –We investigate securities fraud and insider trading, addressing issues of materiality, disclosure and damages – we offer a complete range of services in fraud investigations, from market price analyses to securities law and regulation
• Supervisory procedures – Drawing upon direct experience with broker/dealer firms and SEC investigations, our professionals assess broker/dealer supervisory procedures to determine if firms, in addition to individuals, are at fault in cases involving insider trading, churning, stock manipulation or other fraudulent practices