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Securities, Options and Futures Consultants

Experience counts ...

Serving clients for more than 20 years as consultants and expert witnesses in securities investment and futures trading litigation.

Market Consulting Corporation offers expert financial and litigation consulting services to attorneys who represent plaintiffs/claimants and defendants/respondents nationally, including appearances in state and federal court in numerous states, various arbitration and commission proceedings and the U.S. Tax Court.

Along with legal dispute resolution, MCC’s consulting experience has included review of customer complaints for major brokerage firms and assignments for the New York Stock Exchange (NYSE), the Chicago Mercantile Exchange Group including each of its Designated Contract Markets: the Chicago Mercantile Exchange (CME), the Chicago Board of Trade (CBOT), the New York Mercantile Exchange (NYMEX), and the New York Commodity Exchange (COMEX), as well as the Options Clearing Corporation (OCC), the Teachers Insurance and Annuity Association / College Retirement Equities Fund (TIAA/CREF), banks and other major financial clients.

Areas of Expertise ...

Market Consulting Corporation has successfully consulted in legal cases including matters involving

• Broker breach of fiduciary duty
• SEC Regulation Best Interest
• Lack of supervision
• Securities and investment suitability
• Unauthorized trading
• Stock churning (including criminal churning)
• Selling away
• Options abuse
• Margin liquidations
• Negligence
• Industry rules, standards and practice, compliance issues
• Limited partnerships and private offerings
• Duties of CFAs and other individuals and companies acting as advisors under securities and insurance or derivatives regulations
• Other legal or economic work involving offering documents, marketing or new product development.