These topics are frequently found in statements of claim. Greg Wood is prepared to report and testify on these topics.
- Annuities (Fixed and Variable)
- Auction Rate Preferred
- Bank Located Stockbrokers
- Breach of Fiduciary Duty
- Broker Recruiting (Contracts, Raiding)
- Buy-In/Sell-Out
- Churning
- Commodities Futures
- Controls including Audits
- Corporate and Government Bonds
- Damages (Market Adjusted and NOP)
- Debt Securities
- Dividends
- Employment Issues
- Exchange Traded Funds (Inverse/Leveraged)
- Fiduciary Duty
- Limited Partnerships
- Managed Accounts (Separate Asset Manager)
- Margin and Margin Calls
- Misrepresentation
- Municipal Bonds
- Mutual Funds (Open End and Closed End)
- Negligence
- Omission of Facts
- Options
- Preferred Stock
- Privacy (Regulation SP)
- Promissory Notes
- REITs (Non-Traded)
- Real Estate Investment Trusts
- Recruiting Inducements
- Registered Investment Advisors
- Retiring Broker Continuing Payments
- Rights / Warrants
- Selling Away
- Securities Firm Operations
- Securities Industry Custom and Practice
- Stocks
- Stock Transfer
- Stop/Limit/Market Orders
- Structured Products
- Suitability
- Supervision (Failure To Supervise)
- Standard of Care
- Training Procedures and Contracts
- Turnover and Cost Maintenance Factor
- Unauthorized Trading
- Underwriting and Syndicate
- Wrap Accounts