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Review of Case Materials
Reviews records, documents, testimony, data, and other relevant materials and consults with counsel regarding technical issues related to the matter.
Provide Expert Analysis
Applies specialized knowledge and experience to evaluate the technical or professional issues involved.
Form Expert Opinions
Develops independent, supportable opinions based on the available evidence and relevant standards.
Prepare Expert Reports
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Mortgage-backed securities disputes may require analysis of how mortgage loans were pooled and how the resulting cash flows were allocated, modeled, valued, or represented to investors. Relevant materials can include offering documents, pooling or servicing records when applicable, loan-level data, trustee or servicer reports, remittance information, cash-flow models, pricing data, and trading records. A suitably qualified securities expert can address the structure and performance of the security, including matters involving tranches, prepayments, defaults, valuation, or transaction history. Questions centered on the origination or servicing of individual mortgage loans may require separate mortgage-lending or mortgage-servicing expertise, depending on the issue.
Asset-backed securities analysis can involve the financial assets supporting the security, the allocation of cash flows among classes or tranches, credit enhancement, servicing information, offering disclosures, performance data, and valuation. Depending on the product, the underlying assets may include auto receivables, credit card receivables, mortgage loans, or other financial assets. A suitably qualified asset-backed securities expert can trace how asset performance affected the security and test disputed calculations, assumptions, or representations against the transaction records.
Disputes involving restricted securities may turn on acquisition and resale history, transfer records, restrictive legends, transaction timing, market activity, or records associated with a proposed or completed resale. A securities expert can reconstruct those facts and explain relevant transaction and market practices. Rule 144 provides a commonly used safe harbor for the public resale of certain restricted or control securities when its applicable conditions are satisfied. Whether a particular resale satisfies Rule 144 or qualifies for another applicable exemption from registration ultimately depends on the governing legal requirements and the facts of the transaction.
Securities, +4
Finance
Fraud, +4
Prepares clear, well-supported expert reports outlining methodology, analysis, findings, and opinions.
Provide Deposition Testimony
Explains findings and opinions under oath and responds to questioning during deposition testimony.
Testify in Court
Presents specialized findings and opinions clearly to judges, juries, arbitrators, or other decision-makers.
Order records, trade confirmations, account statements, execution data, timestamps, market-price information, communications, and clearing or custody records can be used to reconstruct securities transactions. That reconstruction may identify when trades occurred, the quantities and prices involved, transaction frequency, concentration, execution patterns, or changes in a position over time. These records can help counsel compare competing descriptions of trading activity and determine which financial questions require further expert analysis.
The assignment may involve comparing offering or disclosure materials with transaction records, reconstructing a market chronology, examining trading activity, assessing valuation inputs, or analyzing the financial characteristics of the securities at issue. The precise expert team depends on the disputed questions. Specialized economic expertise may also be needed to analyze issues relevant to market efficiency, price impact, loss causation, or damages, while ultimate legal and factual determinations concerning the elements of a securities claim remain for the court or other trier of fact, as applicable.
Securities, +4
Finance
Broker, +4
Finance
