Overview
Securities and capital markets consulting addresses disputes involving broker-dealer conduct, investment advice, securities transactions, and capital market operations. MDT Expert Consulting provides access to former securities regulators, broker-dealer compliance officers, and capital markets specialists who evaluate whether securities professionals met applicable regulatory and professional standards in their dealings with customers and counterparties.
Pre-Litigation Support
Before litigation, securities experts help counsel assess the merits of securities fraud, unsuitable investment, and broker-dealer misconduct claims.
Litigation Support
In litigation, securities experts assist in evaluating suitability determinations, assessing the adequacy of disclosures, and quantifying investment losses attributable to alleged misconduct.
Arbitration Support
Securities experts address customer and industry disputes in FINRA arbitration and other alternative dispute resolution proceedings.