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Securities and Regulatory Enforcement Related Service Sheet

Whether it is shareholder class action litigation, hedge fund litigation, allegations of insider trading or market manipulation, the valuation of stock options, the effect of financial disclosures on a company’s stock price, or a wide variety of other issues, many companies today face increased scrutiny from regulators, litigation and business issues that require expert help in the area of the economics of securities markets, valuation and finance.

Service Highlights

Economic analysis of securities, the markets they trade in and their valuation
Credentialed economic, finance, valuation, industry and accounting professionals to serve as consultants or designated experts in litigation matters
Affiliate experts with industry experience to serve as consultants or experts with respect to liability

Representative Clients

Public companies
Financial Institutions
Broker-dealers
Registered investment advisors
Hedge funds
Private equity funds
Investment banks
Sovereign wealth funds
Pension funds
Public and private REITs

We have a deep understanding of securities, securities markets and securities valuation. We have direct experience and expertise in many areas in which companies face legal and regulatory challenges. Our experts are experienced in topics including:

Securities Class Actions

Loss causation and damages issues in shareholder class actions.
Class certification issues, including analyses of market efficiency.

Regulatory Enforcement

Insider trading allegations.
Market manipulation litigation and surveillance advisory.

General Litigation

Mutual fund and hedge fund disputes, including brokerage fee issues.
Valuation of firms or operating divisions.
Stock option valuation issues.
Broker dealer disputes involving unsuitability, churning, cherry-picking, and best execution.

Expertise in All Aspects of Securities and Finance

Our professionals have experience in litigation, accounting, statistics, finance, business valuation and economics. All have doctorates or other advanced degrees or have attained professional designations such as MBA, CFA Charterholder (“CFA”) and Certified Public Accountant (“CPA”).

For litigation and arbitration matters, we complement in-house expertise as needed by partnering with top-tier affiliate experts (both academic and industry, such as stock analysts, investment bankers and securities trading specialists) to analyze financial standards, practices and regulatory requirements, and provide data analytics and financial modeling. We clarify complex matters for litigants and the triers of fact through rigorous research, expert witness testimony and persuasive visual presentations.

FTI’s professionals bring in-depth skill and experience in analyzing liability, loss causation and damages claims. We have helped clients in lawsuits including but not limited to class action lawsuits (§10b, §11, and §12), and matters involving the valuation and trading of common stock, preferred stocks, municipal bonds, convertible bonds, derivative securities (options, warrants), collaterized debt obligations (“CDO’s”) and mutual funds. In class action matters, our experts use financial theory and practical experience to analyze class certification issues, analyze the efficiency of the market in which a security trades, assess materiality and causation, perform event studies to estimate alleged damages, assist in discovery and provide expert testimony.