Brokerage Expert in Hedge Fund Trading

Case Description:

A brokerage expert in hedge fund trading was needed for a breach of contract arbitration. Claimants were a group of hedge funds that invested with the defendant, a registered broker-dealer. When claimants noticed their internal profit-and-loss report didn’t match the defendant’s P&L, they found that their operations manager had been concealing unauthorized trades and engaging in suspicious actions. Defendant had noted these behaviors but communicated concerns only to the operations manager himself. Claimants alleged defendant’s failure to bring the suspicious trading activity to the attention of others constituted breach of contractual and fiduciary duties.

IMS ExpertServices was asked to locate an expert in large brokerage operations, specifically with relation to hedge fund trading. Knowledge about how trades are placed, settled, cleared, and reported back to the hedge fund was required.

Experts Presented:

  • Investment Banking Expert

    This brokerage operations expert has broad experience in the investment banking industry including research, portfolio management, and risk management. Her hedge fund work includes structuring multi-manager hedge fund portfolios. Her currency risk research has led to development of performance benchmarks for foreign exchange that are widely used. She’s published and lectured extensively on brokerage operations, risk management, fund of funds, and other hedge fund trading topics. She has more than two decades of experience in investment management handling equity and fixed income investments. IMS Reference #5011557

  • Hedge Fund Trading Expert

    This hedge fund expert is a portfolio manager and hedge fund analyst for a global fiduciary hedge fund management platform. She has more than 10 years of experience managing both single-manager and funds of hedge funds. She’s published work on hedge fund portfolios and other wealth management topics in professional and educational journals. This expert’s research work includes developing asset and inflation forecasting models. She earned her MBA in finance from an Ivy League school. IMS Reference #501154

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