Market Consulting Corporation
Regulation Best Interest Expert Witness Support in Utah County, Utah
Expert analysis of broker-dealer recommendation practices, customer profiles, disclosure, conflicts, care obligations, documentation, supervision, and damages.
Expert witness assistance
Regulation Best Interest matters require analysis of the recommendation, customer profile, disclosure record, conflict evidence, alternatives considered, supervisory review, and the surrounding account activity. MCC assists by reviewing the documents and trading history relevant to the questions presented. The analysis is fact-specific and may involve industry-practice context, but legal conclusions remain for counsel and the tribunal.
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.
Recommendation record
Customer profile, objectives, risk tolerance, liquidity needs, account documents, and communications may be reviewed.
Disclosure and conflicts
Compensation, product features, fees, conflicts, risk disclosures, and alternative recommendations may be evaluated from the record.
Supervision and care
Firm policies, supervisory reviews, approvals, exception reports, and account activity may be analyzed where relevant.
Issues commonly reviewed
- Customer profile, investment objectives, risk tolerance, time horizon, liquidity needs, and account type.
- Recommendation, product characteristics, costs, risks, reasonably available alternatives, and documentation.
- Disclosure obligations, conflicts, compensation, incentives, and mitigation records.
- Care obligation, suitability-related considerations, concentration, trading frequency, and account activity.
- Compliance obligation, written policies, supervision, training, and exception review.
- Damages, causation, market movement, and account-performance 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.