Market Consulting Corporation
Securities and Investment Suitability Expert Witness Support in Delaware
Expert analysis of suitability, recommendation practices, customer profile, risk tolerance, objectives, concentration, account activity, and damages.
Expert witness assistance
Suitability disputes require review of the customer’s documented profile, the recommendation or strategy, the product or portfolio risks, account concentration, liquidity needs, time horizon, experience, communications, and subsequent account performance. MCC assists by analyzing the record and explaining the industry-practice issues relevant to the questions presented. Conclusions depend on the facts, time period, and applicable standards.
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.
Customer profile and objectives
New account forms, updates, risk tolerance, income, net worth, liquidity needs, experience, and stated objectives may be reviewed.
Recommendation and product risk
The product or strategy can be evaluated for risk, costs, complexity, concentration, liquidity, and consistency with documented objectives.
Account activity and damages
Performance, losses, withdrawals, deposits, market movement, trading costs, and alternative calculations may be analyzed where appropriate.
Issues commonly reviewed
- Reasonable-basis, customer-specific, and quantitative suitability issues where applicable.
- Risk tolerance, liquidity needs, time horizon, investment objective, sophistication, and account type.
- Concentration, margin, options, futures, private placements, limited partnerships, or other product risks.
- Recommendation chronology, communications, disclosures, and documentation.
- Supervision, approval, exception reports, and response to account-risk indicators.
- Damages, causation, market movement, and alternative explanations.
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.