Market Consulting Corporation
Broker Breach of Fiduciary Duty Expert Witness Support in South Central Connecticut Planning Region, Connecticut
Record-based expert analysis for matters involving alleged fiduciary duties, broker conduct, conflicts, account authority, disclosure, trust administration, and related damages.
Expert witness assistance
Breach-of-fiduciary-duty matters require careful separation of legal duties from industry-practice and factual issues. MCC assists by reviewing account documents, authority records, investment objectives, communications, portfolio activity, trust or fiduciary records, and the conduct alleged to have caused loss. The analysis remains tied to the documents, the time period at issue, and the questions counsel asks the expert to address.
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.
Duty and relationship evidence
The analysis may consider the account relationship, discretion, control, advisory role, fiduciary capacity, trust administration context, and documented client instructions.
Conflicts and disclosure
Records may be reviewed for compensation incentives, conflicts, disclosures, recommendations, product risks, and whether relevant facts were communicated in the record.
Conduct and damages
Trading, allocation, liquidation, concentration, risk exposure, fees, and account losses may be evaluated when causation and damages are within the expert assignment.
Issues commonly reviewed
- Whether the account relationship involved brokerage, advisory, discretionary, trust, or other fiduciary features.
- Whether the record reflects conflicts, incentives, risk disclosures, or omissions relevant to the disputed conduct.
- Whether recommendations, transactions, or portfolio decisions were consistent with documented objectives and constraints.
- Whether portfolio concentration, liquidity, margin, options, or other risks were addressed in the record.
- Whether supervision, review, or escalation records bear on the conduct at issue.
- Whether claimed losses can be measured reliably from account and market records.
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.