Building on our expertise of various aspects of market structure, we offer expert witnessing and testimony services in connection with investigations, inquiries, and proceedings, including private and governmental lawsuits, SEC, CFTC, and SRO actions, and arbitration. We also assist and advise our clients with respect to evaluating the merits and proceeding with whistleblower complaints and claims, including legal referrals.

Note: We are not a law firm and we do not provide legal advice. Instead, we work with a leading law firm as part of our consultations.

Functional areas we cover include:

Electronic Trading

  • Improper Trading Practices

  • Market Abuse

  • Proprietary and Agency Trading

  • Market Making

  • Conflicts of Interests

  • Order Routing

  • Special Order Type Compliance

Trading Rules and Protocol

  • SEC and CFTC Rules

  • SRO and Trading Platform Rules

  • Trading Venues' Compliance & Improper Practices

  • Regulation NMS

  • Regulation SHO

Risk Management

  • Risk Management Procedures and Checks

  • Sponsored Access

  • Portfolio Risk Management Solutions

  • Electronic Trading Compliance Audits

  • Portfolio Manager Risk Control

Client Profiles

  • Broker-Dealers

  • Regulators

  • Lawyers and Investigators

  • Asset Managers

  • Private Individuals

Rates: Expert witnessing rates range from $450 to $1,000 per hour depending on length of engagement and staff allocated. Please contact us for daily rates and project-based rate alternatives. For whistleblower complaints, contingency-fee arrangements may be available.

Contact us to discuss how we can help your financial institution leverage our expert domain knowledge and human capital.