Market Consulting Corporation
Selling Away Expert Witness Support in Providence County, Rhode Island
Expert witness assistance for selling-away disputes involving private securities transactions, outside business activity, supervision, disclosure, suitability, and damages.
Expert witness assistance
Selling-away matters often involve investments offered away from the firm, outside business activities, undisclosed compensation, customer reliance, supervision, and whether the firm had notice or red flags. MCC assists by reviewing the investment documents, communications, account records, firm policies, broker activity, and supervisory response. The analysis is tied to the facts, not to assumptions about responsibility.
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.
Investment and communication records
Offering documents, subscription materials, emails, text messages, notes, checks, wires, and account documents may be reviewed.
Broker and firm conduct
Outside activity disclosures, firm approvals, complaints, branch records, compensation evidence, and supervisory records may be examined.
Loss and causation
The investment outcome, product risks, customer decisions, firm notice, and claimed damages may be evaluated where appropriate.
Issues commonly reviewed
- Private securities transactions, outside business activities, referrals, undisclosed compensation, and sales materials.
- Customer relationship, trust, reliance, sophistication, objectives, risk tolerance, and liquidity needs.
- Firm policies, approvals, surveillance, complaints, red flags, and supervisory response.
- Suitability, disclosure, misrepresentation, omission, and concentration issues.
- Money movement, account records, wires, checks, and documentation of investment participation.
- Damages, causation, collectability, mitigation, and settlement evaluation.
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.