Capital Markets, Investment Management and Financial Product Disputes

In the last decade alone, we have handled over 100 capital market and investment management dispute matters, assisting with liability issues as well as quantum of loss. As the largest valuation firm and a leader in valuing complex debt, equity and derivative instruments, we are uniquely qualified to analyze and quantify complex securities, derivatives, unique trading strategies and financial transactions in a dispute context.

How We Can Help in Financial Market Cases

We assist parties involved in complex financial market disputes related to:

• Valuation
• Hedging and break costs
• Waterfall/cash-flow allocations
• Underwriting/due diligence
• Investor suitability/disclosure
• Comparative investment strategies
• Risk management/risk allocation
• Structuring
• Counterparty risk/financial guarantees
• Surveillance
• Market liquidity
• Damages, including modeling of causation and opportunity cost.

Our experts are former market practitioners who can deal with issues of issuer, trader and counterparty customary industry practice, including in the context of alleged market manipulation or fraud. Where listed securities are concerned, our expert economists perform event studies and stock price recreations in counterfactual scenarios. In cases involving large volumes of data or time-consuming reviews, we provide expertise in statistical sampling and inference to reduce the time and cost involved.

Our dispute resolution experience also spans all types of mainstream equity and debt securities, private transactions, and complex financial assets, including:

• Structured products
• Credit default, interest rate and cross-currency swaps
• Bespoke structured notes
• Exotic equity options
• Exotic foreign exchange (FX) options
• Structured loans
• Securitized products (ABS, CLOs, CMBS, CDOs, RMBS)
• Interest rate swaps
• Commodity swaps, including oil and gas, and precious metals.