Securities Litigation Support, LLC has prepared over 60 expert reports for arbitration, Mediation and court cases. These reports have been written for both claimant/plaintiff and respondent/defense matters. Retaining counsel has found these reports helpful in reaching pre-arbitration hearing or pre-trial settlements. Greg Wood is happy to assist counsel with related mediation or settlement issues.
The two reports that follow are two actual documents with all names and identifying information changed. One of these reports resulted in an arbitration award for the claimant and the other resulted in a pre-arbitration settlement.
Report number 1 concerns:
- Excessive Trading (Churning)
- Discretionary Trading Without a Written Authorization (Unauthorized Trading)
- Unsuitability
- Failure to Supervise
Click here to see a sample report number 1
Report number 2 concerns:
- Leveraged and Inverse Exchange-Traded Funds
- Discretionary Trading Without a Written Authorization (Unauthorized Trading)
- Unsuitability
- Failure to Supervise