Market Consulting Corporation
Securities Arbitration Expert Witness Support in Kane County, Illinois
Expert witness and litigation consulting support for securities arbitration matters involving broker conduct, account handling, supervision, suitability, trading practices, and damages.
Expert witness assistance
MCC assists counsel and parties in securities arbitration by reviewing the factual record, identifying the industry-practice issues, evaluating applicable rules and standards, and presenting analysis in a form suitable for negotiation, mediation, hearing preparation, expert reporting, or testimony. The work is fact-specific and does not assume liability, causation, or damages before the record is reviewed.
Engagement focus
- Initial case review focused on the factual record, the questions presented, and the likely scope of expert analysis.
- Issue analysis addressing securities, futures, options, trust, portfolio-management, compliance, or industry-practice questions as applicable.
- Damages or loss analysis when the facts and engagement require quantification.
- Assistance with document requests, deposition preparation, mediation preparation, expert reports, rebuttal analysis, and testimony as appropriate.
FINRA and arbitration context
Analysis may address the customer account relationship, broker recommendations, firm supervision, disclosures, risk controls, account objectives, and the chronology of the dispute.
Claimant and respondent matters
MCC has worked on matters for both plaintiffs/claimants and defendants/respondents, with attention to the factual record and the standards applicable to the forum.
Damages and settlement support
When damages analysis is appropriate, account activity, deposits, withdrawals, market movement, trading costs, and alternative measures may be reviewed.
Issues commonly reviewed
- Suitability and reasonable-basis, customer-specific, and quantitative considerations where applicable.
- Unauthorized trading, discretionary authority, ratification, and account-control questions.
- Excessive trading, turnover, cost-to-equity, commissions, margin interest, and pattern evidence.
- Failure to supervise, exception reporting, branch-office review, compliance escalation, and supervisory response.
- Risk disclosure, misrepresentation, omission, selling away, private offerings, and product-risk issues.
- Causation, damages, mitigation, settlement posture, and hearing presentation.
Records commonly requested
- Pleadings, statement of claim, answer, counterclaims, and amended claims.
- New account documents, customer profiles, investment objectives, risk-tolerance records, and account updates.
- Monthly statements, trade confirmations, order tickets, margin records, and cash-flow records.
- Correspondence, emails, recorded calls, notes, exception reports, and supervisory reviews.
- Product materials, offering documents, risk disclosures, prospectuses, research, and internal sales materials.
- Prior settlement discussions, mediation statements, expert disclosures, and damages calculations, when available.
Dr. Ronald W. Cornew and Market Consulting Corporation
The dispute resolution and financial consulting efforts of Market Consulting Corporation are under the direction of Dr. Ronald W. Cornew, President and Senior Consultant. Dr. Cornew personally supervises MCC case work and, when appropriate, draws on a network of industry specialists for very large or complex matters.
Case review
Request expert witness consultation
Provide the forum, parties represented, principal allegations, relevant account or transaction records, and any current deadlines. Additional documents can be exchanged after conflicts and scope are addressed.