In various claims adverse to Morgan Keegan & Company, Inc., a Brattle principal testified for respondents’ counsel in FINRA arbitration disputes involving mutual fund and closed-end fund investments. Topics covered included structured finance, market and credit risks, fund disclosures, the financial market crisis, valuation, and damages.
In an SEC investigation, Brattle identified and supported an industry expert in mutual fund pricing, valuation, and disclosure practices.
Industry Custom and Practice– Overview – Anti-Money Laundering – Bank Regulation – Commercial Lending – Financial Services Risk Management Processes – Investment Management Valuation, Due Diligence, and Disclosure Practices – Market Trading Activities – Mortgage Banking / Securitization – Suitability – The Duties and Responsibilities of Broker Dealers – The Duties and Responsibilities of Hedge Fund Administrators – The Duties and Responsibilities of Securities Custodians
Complex business and legal matters require intellectually honest and analytically rigorous solutions that are thoughtfully developed and clearly communicated. We apply economic and finance principles with uncompromising quality to achieve clarity in the face of complexity. Independent analysis, responsive execution, and compelling presentation. That’s Brattle. That’s the Power of Economics.