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Services

Arbitration

Craig McCann and Edward O'Neal — both former academics and SEC economists — have testified at final hearings in over 500 FINRA, NASD, NYSE, JAMS and AAA arbitrations. Sandy Ouano and Dana Lin have a combined 40 years of experience managing our firm's securities arbitration practice.

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Our Areas of Expertise

Securities Arbitrations

Investors primarily litigate disputes with brokerage firms in arbitration forums administered by the Financial Industry Regulatory Authority (FINRA). These disputes often center on allegations that the broker failed to make suitable recommendations, churned an account or failed to disclose material information. Disputes over similar issues involving registered investment advisors (RIAs) are usually litigated before American Arbitration Association (AAA) or Judicial Arbitration and Mediation Services, Inc (JAMS) panels.

We provides analysis to Claimants and Respondents in securities arbitrations and our professionals frequently testify before arbitration panels. Our expert witnesses have been involved in many of the largest, most complex securities arbitrations of the last decade including cases involving hedge funds, CDOs and other structured finance securities, REITs.

Profit/Loss Statistical Analysis

Profit/Loss analysis involves our statistical analysts combing over each line of bank statements in order to reveal any discrepancies or shady trading tactics from brokers. Using communications from brokers, risk level contracts and bank statements, we are able to determine through nuanced analysis whether your broker has breached their fiduciary duty in some way. This analysis is written into an elegant report for you. Using our experts' extensive litigation experience and training, we can additionally provide expert witness opinions in court during your case.

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