Market Consulting Corporation
Mutual Fund Abuse Expert Witness Support in Kansas
Expert analysis for mutual fund disputes involving market timing, late trading, selective disclosure, soft-dollar practices, fee issues, allocation, and related conduct.
Expert witness assistance
Mutual fund disputes may involve trading practices, pricing, disclosure, fees, intermediary arrangements, fund governance, compliance controls, and investor impact. MCC assists by reviewing fund documents, transaction records, policies, communications, and supervisory or compliance materials to evaluate the specific conduct alleged. Each matter is reviewed based on the applicable facts and engagement scope.
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.
Fund-document review
Prospectuses, statements of additional information, board materials, policies, agreements, and shareholder communications may be examined.
Trading and fee records
Transactions, exchanges, redemptions, fee schedules, soft-dollar arrangements, and account-level records may be reviewed where relevant.
Compliance and impact
Controls, exception reports, surveillance, disclosures, investor impact, and damages may be evaluated when supported by the record.
Issues commonly reviewed
- Market timing, late trading, selective disclosure, portfolio-holdings disclosure, and stale-pricing issues.
- Fee arrangements, soft dollars, sales practices, revenue sharing, or allocation concerns.
- Fund policies, prospectus disclosures, intermediary agreements, and compliance records.
- Trading chronology, customer benefit, shareholder impact, and fund dilution questions.
- Supervision, controls, exception review, and escalation.
- Damages, causation, mitigation, and settlement analysis.
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.