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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.
Connect with us
James Finkel
James Finkel
Managing Director, Testifying Expert
Expert Services
New York
Phone
Nick Matthews
Nick Matthews
Managing Director, Testifying Expert
Expert Services
London
Phone
Allen Pfeiffer
Allen Pfeiffer
Managing Director, Testifying Expert
Expert Services
New York
Phone
Charles Parekh is a director at Duff & Phelps.
Charles Parekh
Managing Director, Testifying Expert
Expert Services
Chicago
Phone
Andrew Kasapis is a director at Duff & Phelps.
Andrew Kasapis
Senior Director
Expert Services
London
Phone
G William Bill Kennedy
G. William (Bill) Kennedy
Managing Director, Testifying Expert
Expert Services
Boston
Phone
Tasneem Azad
Tasneem Azad
Managing Director, Testifying Expert
Expert Services
London
Phone

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Valuation of businesses, assets and alternative investments for financial reporting, tax and other purposes.

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Comprehensive investment banking, corporate finance, restructuring and insolvency services to investors, asset managers, companies and lenders.

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Incident response, digital forensics, breach notification, managed detection services, penetration testing, cyber assessments and advisory.

Environmental, Social and Governance

Advisory and technology solutions, including policies and procedures, screening and due diligence, disclosures and reporting and investigations, value creation, and monitoring.

Investigations and Disputes

World-wide expert services and tech-enabled advisory through all stages of diligence, forensic investigation, litigation and testimony.

Business Services

Expert provider of complex administrative solutions for capital events globally. Our services include claims and noticing administration, debt restructuring and liability management services, agency and trustee services and more.