Market Consulting Corporation
Securities Rules and Regulations Expert Witness Support in McMinn County, Tennessee
Expert consulting concerning securities, futures, options, brokerage practices, regulatory standards, industry rules, compliance issues, and dispute analysis.
Expert witness assistance
Rules-and-regulations issues in financial disputes often require explanation of how industry standards, firm procedures, account documents, and actual conduct fit together. MCC assists by reviewing the factual record and identifying the industry-practice issues relevant to securities, futures, options, trusts, account supervision, and investor disputes. The role is to assist with expert analysis; legal interpretation and legal argument remain the responsibility of counsel.
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.
Industry-practice analysis
Applicable rules, standards, procedures, and market practices may be considered in relation to the conduct at issue.
Compliance record
Written procedures, supervisory controls, exception reports, account reviews, and communications may be reviewed.
Dispute application
The analysis may support claims, defenses, damages, settlement evaluation, expert reports, rebuttal, deposition, or testimony.
Issues commonly reviewed
- Securities Act, Exchange Act, investment-company, investment-adviser, futures, derivatives, and related compliance context where relevant.
- FINRA, exchange, firm, supervisory, account-opening, and customer-communication practices.
- Suitability, Regulation Best Interest, disclosure, supervision, account control, margin, and trading-practice issues.
- Written supervisory procedures, compliance testing, exception reports, training, and escalation.
- Broker, adviser, firm, clearing, trust, or portfolio-management conduct.
- Damages, causation, evidentiary support, and limitations of the record.
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.