Building on our expertise of various aspects of market structure, we offer expert witnessing and testimony services in connection with investigations, inquiries, and proceedings, including private and governmental lawsuits, SEC, CFTC, and SRO actions, and arbitration. We also assist and advise our clients with respect to evaluating the merits and proceeding with whistleblower complaints and claims, including legal referrals.
Note: We are not a law firm and we do not provide legal advice. Instead, we work with a leading law firm as part of our consultations.
Functional areas we cover include:
Improper Trading Practices
Proprietary and Agency Trading
Conflicts of Interests
Special Order Type Compliance
Trading Rules and Protocol
SEC and CFTC Rules
SRO and Trading Platform Rules
Trading Venues' Compliance & Improper Practices
Risk Management Procedures and Checks
Portfolio Risk Management Solutions
Electronic Trading Compliance Audits
Portfolio Manager Risk Control
Lawyers and Investigators
Rates: Expert witnessing rates range from $450 to $1,000 per hour depending on length of engagement and staff allocated. Please contact us for daily rates and project-based rate alternatives. For whistleblower complaints, contingency-fee arrangements may be available.
Contact us to discuss how we can help your financial institution leverage our expert domain knowledge and human capital.