Securities Industry

The securities industry is the organized economic activity connected with the buying and selling of securities.

Case Study

Interest Rate Swap Expert

An interest rate swap expert was needed in a breach of contract action involving a dispute over contact terms contained in an International Swaps and Derivatives Association (ISDA) Master Agreement.

Case Study

Municipal Bond Trading Expert in Account Churning

A municipal bond trading expert with account churning knowledge was needed for securities arbitration.

Case Study

Investments Expert in OTC Stock Trading

An investments expert in OTC stock trading was required for an arbitration matter before the NASD.

Case Study

Municipal Securities Expert in Broker/Dealer Fraud

A municipal securities expert in unit investment trusts was needed for an NASD arbitration.

Case Study

Fixed Income Trading Expert in Securities Software

A fixed income trading expert with knowledge of software packages was needed for a contracts case addressing securities industry standards.

Case Study

Indenture Trustee Expert in Forensic Banking

An indenture trustee expert in forensic banking was needed for a professional malpractice case in the securities industry.

Case Study

Securities Industry Expert in Telecommunication Valuations

A securities industry expert with experience performing telecommunications firm valuation analysis was needed for a regulatory matter.

Case Study

Broker-Dealer Regulations Expert

A broker-dealer regulations expert with knowledge of short sale transactions was needed for a breach of contract case.

Case Study

Securities Valuation Expert in Margin Trading

A securities valuation expert in margin trading was needed for a breach of contract action filed in bankruptcy court.