Financial Services Disputes
Duff & Phelps’ Financial Services Disputes and Investigations practice provides:
- Confidential consulting and expert witness testimony services to financial services and related industry clients involved in commercial and regulatory disputes related to investing, trading and risk transfer activity, including a wide variety of equity and debt, derivative investment products and structured finance products; investment management disputes and investigations; operational issues ranging from risk controls to trade execution, clearing and settlement processes; and complex securities litigation matters stemming to both the financial crisis and ordinary course-of-business disputes.
- Consultancy to broker-dealer and investment management clients involved in routine or targeted SEC, FINRA, state or other regulator examinations and data requests; advise in gathering, consolidation and analysis of large, multi-source transactional data and aid in responses and subsequent proceedings.
- Expert testimony in Federal, state and local courts as well as in SEC, FINRA, and other SRO arbitrations regarding issues including market fundamentals, industry standards and practices, product or client specific inquiries, allegations of market manipulation, layering, spoofing, insider trading, transactional and financial reporting and disclosure improprieties, and complex damages assessments.
Our team members – a combination of practitioners having commercial buy-side and sell-side experience, along with advanced degrees in finance, mathematics and other quantitative disciplines, including PhDs, MBAs, LLMs, CPAs and CFAs – are uniquely qualified to provide consulting work and having significant testifying experience in a variety of forums, related to financial industry and product disputes.
Clients have included banks, investors (both institutional and retail), insurers, trustees, corporations and other market participants, as well as federal and state agencies and enforcement authorities.