Securities, Derivatives & Finance

Under the CEA, we have frequently been engaged to evaluate trading behavior suspected of generating (or having the object of generating) an artificial price. In the course of these engagements, we analyze liquidity, open interest, relationships between cash and futures volume and pricing, and the risks of cornering. We are also engaged by exchanges wishing to audit their own regulatory compliance and have been appointed monitor by the CFTC.  A number of our experts specialize in swaps, options and other derivatives, including complex structured products, and we are frequently called upon to make these products easily comprehensible for juries and judges. Our cases also include challenges to CDOs and other investment instruments based on the adequacy of their disclosures. We have handled numerous cases alleging fraud in connection with partnership or LLC investments in real estate, agricultural and retail operations. On an advisory basis, we assist with portfolio specifications designed to optimize risk-return tradeoffs and to enable investments in new asset classes.

Our founders have decades of experience working with public and private exchanges, clearinghouses, broker dealers and market makers. They hold a patent for technology to estimate in real time the VaR of complex, structured contract portfolios. Our experts in finance and tax shelter cases include top-tier professors and practitioners from across the country, including experts in portfolio theory, risk, and financial accounting. They also include seasoned former regulators from the CFTC.