Market Consulting Corporation
Options Abuse Expert Witness Support in Western Connecticut Planning Region, Connecticut
Expert witness assistance for options disputes involving unsuitable strategies, risk disclosure, account approval, margin, trading patterns, and damages.
Expert witness assistance
Options matters can involve leverage, complex strategy risk, account approval, margin exposure, assignment risk, volatility, concentration, and whether the customer understood or authorized the strategy. MCC assists by reviewing the account record, options approval materials, strategy history, communications, risk disclosures, and supervision records. The analysis is conducted from the documents and the market context, not from hindsight alone.
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.
Strategy analysis
Covered calls, spreads, uncovered options, short options, speculative positions, and related strategies may be reconstructed and explained.
Approval and disclosure
Options agreements, approval level, risk disclosures, customer profile, experience, and communications may be reviewed.
Risk and loss review
Losses can be evaluated in light of volatility, leverage, margin, commissions, assignment, concentration, and market movement.
Issues commonly reviewed
- Options-account approval, trading level, experience, objectives, and risk tolerance.
- Strategy mechanics, suitability, concentration, leverage, and margin exposure.
- Risk disclosure, customer communications, trade authorization, and alleged guarantees or omissions.
- Supervision, exception reporting, approvals, and handling of high-risk strategies.
- Assignment, expiration, volatility, liquidity, and market movement.
- Damages, causation, trading costs, and alternative explanations for loss.
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.