Derivatives Expert in Equity Monetization

Case Description:

A derivatives expert in equity monetization was needed for professional malpractice litigation. The plaintiff, a wealthy investor, claimed that the defendant, a large brokerage firm, mismanaged the plaintiff's investment in a derivative known as an equity monetization security, or EMS contract, resulting in large losses.

IMS ExpertServices was asked to find a derivatives expert who had worked for a money management firm in its private clients department and who had practical experience managing money for individuals who held large positions in a single stock. An expert was sought who could opine on methods of diversifying such an investment portfolio and whether the derivative investment was an effective way of doing so.

Experts Presented:

  • Derivatives

    This derivatives expert is an executive and general counsel for a securities corporation. He has been with the firm, a broker-dealer that works with corporations, institutions, and private clients on hedging and arbitrage transactions, for over 20 years. He is a leader in the area of hedging low-basis securities and, with the other principals of the firm, has overseen billions of dollars of derivatives trading transactions including equity collars, pre-paid variable forwards, and swaps. He has structured equity monetization for private clients using these derivatives. Before joining the firm he was an associate attorney specializing in broker-dealer and securities law. IMS Reference #4975224

  • Finance

    This derivatives expert is a professor of finance who has received numerous fellowships and grants for his research on option pricing and other derivatives markets topics. He has consulted with leading stock exchanges, banks, and other financial institutions in the U.S. and abroad. This expert has worked as a floor trader in derivatives on the New York Futures Exchange and the NYSE. He has taught in executive programs at major financial institutions, held advisory positions for stock exchanges, and served on panels on derivatives and emerging markets for the IFC and other prestigious financial organizations. IMS Reference #3972055

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Industry: All, Securities