How Widespread and Predictable is Stock Broker Misconduct?
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Fiduciary Duties and Non-traded REITs
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How Widespread and Predictable is Stock Broker Misconduct?
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Fiduciary Duties and Non-traded REITs
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Securities-Based Lending
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An Empirical Analysis of Non-Traded REITs
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Ex-post Structured Product Returns: Index Methodology and Analysis
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The Priority Senior Secured Income Fund
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Large Sample Valuations of Tenancies-in-Common
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Structured Certificates of Deposit: Introduction and Valuation
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Using EMMA to Assess Municipal Bond Markups
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Are VIX Futures ETPs Effective Hedges?
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Securities-Based Lending
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An Empirical Analysis of Non-Traded REITs
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Ex-post Structured Product Returns: Index Methodology and Analysis
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The Priority Senior Secured Income Fund
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Large Sample Valuations of Tenancies-in-Common
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Structured Certificates of Deposit: Introduction and Valuation
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Trigger Yield Optimization Notes linked to Apple Inc
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SuperTrack Notes linked to the iShares MSCI Emerging Markets Index Fund
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Reverse Convertible Notes linked to Apple Inc
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Buffered PLUS linked to the iShares MSCI Brazil Index Fund
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ELKS linked to AMR Corp.
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Reverse Convertible Notes linked to Apple, Inc.
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Trigger Yield Optimization Notes linked to Alpha Natural Resources, Inc.
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Trigger Phoenix Autocallable Optimization Securities linked to Apple Inc.
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Trigger Yield Optimization Notes linked to Apple Inc
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SuperTrack Notes linked to the iShares MSCI Emerging Markets Index Fund
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Reverse Convertible Notes linked to Apple Inc
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Buffered PLUS linked to the iShares MSCI Brazil Index Fund
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ELKS linked to AMR Corp.
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Reverse Convertible Notes linked to Apple, Inc.
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Securities Litigation
and Consulting Group

Securities Litigation and Consulting Group, Inc ("SLCG") is a financial economics consulting firm based in the Virginia suburbs outside of Washington, DC. SLCG was founded in 2000 by Craig McCann, PhD, CFA to provide finance, economics and investment management consulting. Dr. McCann has 20 years experience analyzing investments in academia, government and private industry. Over the years, SLCG's staff has grown to include PhD, MA and BA level professionals with academic, industry and government experience.

SLCG provides consulting services and expert witnesses to law firms, publicly-traded corporations, banks, brokerage firms and individuals involved in complex litigation throughout the United States. Our litigation projects include securities class actions, trust management and brokerage industry disputes, white collar criminal proceedings and regulatory investigations. Our experts have testified in state and federal court and in various arbitration forums.

In the News

Financial Times, July 29, 2016, "Fears grow over Wall St's appetite for securities-based lending"
The Financial Times continues to cover the substantial increase in securities-based lending to customers of broker-dealers. Lending has become the primary focus of sales and marketing efforts at retail wirehouses like Merrill...
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AdvisorHub, June 20, 2016 - "Spy Novelist Who Claimed Deception by Morgan Stanley Wins $3.6 Million"
Mason Braswell's "Spy Novelist Who Claimed Deception by Morgan Stanley Wins $3.6 Million" reports on the financial harm an investor incurred when his broker overstated the value of his investments over a three-year period. Dr....
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FinancialPlanning.com June 8, 2016 "Commissions exposed, adviser stops selling nontraded REITs"
Ann March's "Commissions exposed, adviser stops selling nontraded REITs" in FinancialPlanning.com available here discusses SLCG's non-traded REIT research. The article illustrates how disclosing commissions and their impact on the...
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The Wall Street Journal, April 22, 2016 - "Is Your Broker Good or Bad?"
Jason Zweig's "The Intelligent Investor: Is Your Broker Good or Bad?" in this weekend's Wall Street Journal reports on recent published literature on broker misconduct. His article cites SLCG's recently completed analysis of 1.2...
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The Wall Street Journal, February 5, 2016 - "The Oil Rout's Surprise Victims"
Jason Zweig's "The Intelligent Investor: "The Oil Rout's Surprise Victims" in this weekend's Wall Street Journal discusses the losses caused by falling oil prices through retail structured products linked to crude oil prices, and...
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Financial Times, September 3, 2015 - "Market woes prompt regulator to warn on securities-based loans"
Ben McLannahan and Joe Rennison's "Market woes prompt regulator to warn on securities-based loans" quotes SLCG's Paul Meyer on the conflicts of interest involved in brokerage firms' extension of securities-based loans. Paul is...
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Neue Zurcher Zeitung (The New Zurich Times), August 23, 2015 - "UBS's Costly Puerto Rican Adventure"
Sophie Schimansky's "UBS's Costly Puerto Rican Adventure" reviews the UBS debacle in Switzerland's largest German-language newspaper. The article can be downloaded here. The article quotes SLCG's Craig McCann (bio here) on the...
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The Wall Street Journal, August 11, 2015 - "Puerto Rico Investors Win Relief From UBS"
Mike Cherny's "Puerto Rico Investors Win Relief From UBS" in the Wall Street Journal reports on a string of arbitration wins by UBS PR customers over the sale of leveraged closed end bond funds. The WSJ article cites SLCG's...
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