Retail Securities Expert in the Sale of Corporate Bonds

Case Description:

A retail securities expertin the sale of corporate bonds to the retail bond sales market was requested for a professional malpractice case. The defendant, a well-known retail financial services company, recommended and sold approximately $16 Million worth of bonds against a company which went bankrupt shortly afterwards. The plaintiff alleged that representatives failed to disclose negative information about restated earnings, bond ratings, and an open investigation by the SEC, and made affirmative representation to their customers that the bonds were safe investments.

IMS ExpertServices was asked to locate a retail securities expert with extensive experience in the sale of corporate bonds to the retail bond sales market who would have intimate knowledge of the level of disclosures to be made in the course of offering corporate bonds to retail customers.

Experts Presented:

  • Securities

    This retail securities expert established himself as a top executive over the course of a 25-year career with brokerage firms including Morgan Stanley and Merrill Lynch. He has been a guest lecturer at the graduate business schools of Babson, Columbia, Dartmouth, Duke, Fordham, Georgetown, Harvard, MIT, New York University, Notre Dame, Rutgers and Wharton. He has published extensively on the subjects of securities investment, speculative grade bonds and credit risk.IMS Reference #5001517

  • Financial Services

    With over 35 years of experience in securities, commodities, and banking, this retail securities expert has 13 years of experience as a retail securities branch manager for a large financial services company. His experience in securities investment includes supervising stock, bond and commodities brokers working with retail customers and advising them on matters such as disclosure. He is a trained Arbitrator for the National Association of Securities Dealers and has been retained as an expert consultant on many NASD matters.IMS Reference #4988589

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Industry: All, Securities