Expert Witness
Our expert witness staff can help
you and your attorney prepare and ensure that your position is fully
and appropriately represented. We will help in evaluation,
preparation, and execution of your case. We will provide you with an
experienced professional in the field you need or we will help you
find one.
Review Our Experts' CVs
Click Here!
We have been involved in these and many
other types of cases:
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Unauthorized
transactions |
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Suitability |
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Institutional client DKs a bond trade after settlement date |
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WCOM
Research related |
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WCOM
Options |
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Broker
Termination with Forgivable debt |
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Churning |
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Mutual Fund Switching and Variable Annuities |
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Dealing with State Securities and Insurance inquires |
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Broker
dealer claims his agent did not have authority to execute trade |
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Broker just walked and has an outstanding note |
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Naked
option trading went bad and client now does not understand options |
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Broker claims wrongful termination |
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Clearing Firm
Liability |
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Email problems
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ACATS dispute |
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Rule 405 |
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Our
Professionals Have Been There |
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We Have
Experience Entering A Case During The Late Stages (a call for
HELP) |
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Will
Provide You An Evaluation Of The Case On Its Merits Before It
Starts |
Click here to ask us a question about your problem
Geographically Diversified, and Highly
Qualified Experts
Our experts are located in several
parts of the country from California, to New York, Illinois,
Florida, Georgia, and Maryland. We also have a wide range of
talent that can meet almost any securities industry expert witness
or private consultant requirement. Several of our experts have law
degrees and decades of high level securities management and trading
experience. Please call or email us and we will email or fax a CV
for your consideration.
Additional Services
We can provide a data base of the
trading history and provide charts, graphs, ratios , and P/L for the
account. Because we use a data base we are able to generate almost
any type of graph or ratio you want, to present your case in the
most visual and persuasive way.
Our Professional Philosophy
That you settle a case where you are in the wrong
and fight if you are in the right, while being mindful of the
total business cost.
The paragraph below is one of the best we have found
describing the arbitration process; click on the link to read the
complete article.
"Finally, you must remember that arbitration
is a court of equity not a court of law. This means that the
arbitrators are charged with doing what is right as opposed to
doing what the law tells them to do. While most arbitrators will
try to follow the law and are encouraged to do so whenever
possible, there are oftentimes cases where they will rule in favor
of a party even though the other side would prevail under the law.
Consequently, it is important to show the arbitrators that it
would be inequitable and unjust for them to rule against you. This
is not as easy as it sounds however and you should keep in mind
that the other side will try to do the same thing. Opposing
counsel may introduce seemingly irrelevant evidence that attacks
your credibility or shows you to be a "bad person" in order to
bolster their case. Oftentimes this evidence would not be
admissible in court. However, arbitrators are not bound by the
rules of evidence and, in fact, one of the few grounds for getting
an award overturned is the arbitrators' failure to consider
material evidence. Consequently, arbitrators tend to err on the
side of letting in more evidence than they exclude in order to
minimize the chance of having their award overturned. Don't be
surprised, therefore, if a ten year old DWI conviction, a personal
bankruptcy, or some other unrelated matter is suddenly offered
into evidence. If you have any items in your background such as
these that might come up, make sure you have discussed them with
your attorney beforehand and be prepared to provide explanations
as to why they are not pertinent to the case at hand (i.e., a
clean record since that time, participation in counseling,
community or charitable service, etc...). "
By Alan Foxman, Esq.
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| Information |
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We will provide you with an experienced professional
in the field you need or we will help you find one elsewhere
at no charge. (Securities Industry) |
| Questions? |
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As a service
to our customers and prospects Brokerage Consulting Services
will provide you with "the short answer" to your securities
industry related questions.
Just click here
and and type in your question. We will answer by email or phone. If the
question falls outside of our short answer constraints we will
also offer other solutions for you to get an answer. |
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