Fiduciary Duty Expert in Collateralized Debt Obligations

Case Description:

A fiduciary duty expert in fiduciary dutysecurities law, and disclosure obligations was needed for arbitration in a failure to disclose issue. The defendant, an investment advisor, sought declaratory relief from a cross complaint in which the plaintiff alleged the defendant failed to disclose fees received as a result of an investment the plaintiff made in a collateralized debt obligation, or CDO. The plaintiff argued that failure to disclose the fees violated fiduciary duty under the Federal Investment Advisors Act, as well as common law, and argued the defendant should return the fees to the firm that managed the CDO.

IMS ExpertServices™ was asked to locate a JD with expertise in securities law and knowledge of the fiduciary responsibilities of investment advisors, as well as experience with damages related to failure to disclose issues. Previous experience with collateralized debt obligations was also desired. This fiduciary duty expert, was asked to review documentation of the case, render an expert opinion, and testify at the arbitration hearing.

Experts Presented:

  • Securities Investment

    This fiduciary duty expert earned his J.D. at Catholic University in Washington D.C. He practices in securities and corporate law and has extensive experience drafting limited liability agreements, subscription agreements, registration statements, applications for exemptive relief, and other documents for filing with the SEC and other regulators. He’s served as lead counsel in the formation and offering of multi-tranche Collateralized Debt Obligations, and as senior counsel at Bank of America. He has regularly advised clients on the requirements of the Sarbanes Oxley Act since its implementation.IMS Reference #4992647

  • Fiduciary Duty

    With a J.D. from the University of Chicago Law School, this fiduciary duty expert practices in the areas of corporate governance, director and officer representation, securities litigation and government enforcement. He has significant experience representing corporations and individuals in complex civil litigation matters concerning securities and corporate governance, as well as in representing directors and officers in securities class actions and breach of fiduciary duty litigation.IMS Reference #3450585

  • Fiduciary Duty

    A law graduate of Georgetown University, this expert in fiduciary duty matters concentrates on securities and derivatives enforcement, litigation, and regulatory counseling. He's defended clients in investigations and enforcement actions of the SEC, Department of Justice, the Commodities Futures Trading Commission, state regulators, and self-regulatory organizations, and in private litigation and arbitration. He regularly counsels clients on regulatory compliance, including issues of disclosure, internal compliance procedures, and regulatory audits.IMS Reference #4979071

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Industry: All, Securities