Auction Rate Securities

Our client sought a financial expert to consult on the history, development, marketing, and risks of auction rate securities, report, and testify.

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Hedge Fund Business

Our client sought a financial expert witness in managing funds with a variety of investments including hedge funds. The expert was to address the risks associated with managing third party investments.

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Variable Annuities

Our client sought an financial advisor expert in variable annuities to opine whether this is a suitable investment for an elderly client.

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Hedge Funds

Our client asked us for an expert in hedge funds and how they reacted to market conditions in the fall of 2008 to assist with a disputed liquidation matter.

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Securities Trading Industry

Our client requested an expert in a specialty securities trading industry to opine on the functions of traders, differences in compensation and duties in different trading markets. The client also needed the expert to be familiar with what would be considered a trade secret in the industry.

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Securites Transfer

Our client sought a securities expert with experience in automated transfer of accounts to consult, report, and testify.

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Brokerage Filings

Our client sought a securities industry expert with experience with the filing requirements when a broker moves from one firm to another to consult, report, and testify.

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Stock Broker Compensation

Our client requested an expert in senior stock broker executive compensation for a hearing.

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Stocks and Options Trading-Churning

Our client, involved in a FINRA arbitration, sought an industry on expert equity stock and options trading who could opine on whether various trades for an account were justified, whether the account's performance was reasonable, and whether certain commissions were reasonable. Testifying experience was required, ideally at trial or arbitration in churning and under-performance cases.

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Research Business

Our client sought an expert in the equity research business to consult, report, and testify on unfair trade practices, misappropriation of trade secrets, and breach of fiduciary duties.

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Financial Instruments Patents

Our client, representing a party in a patent case, sought an academic expert with experience in a particular financial instrument to consult on the software available to facility trading.

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Options Trading and Financial Markets

Our client, representing a party in a patent case, sought an academic expert with experience in a particular financial instrument to consult on the software available to facility trading.

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Futures Trading Industry

Our client, representing a party in a patent case, sought an industry expert with experience in using software to facilitate online trading the financial instruments.

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Options Trading Industry

Our client, representing a party in a patent case, sought an industry expert with experience in using software to facilitate online trading the financial instruments.

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Auction Rate Securities

Our client requested that Round Table Group search its resources and locate experts in auction rate securities to assist in a matter before FINRA. The expert was to consult and testify and was required to have the ability to testify clearly and credibly.

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Securities and Broker-Dealer Supervision

In a case involving fraudulent investment by an investment broker, our client sought an expert witness in the securities industry to examine the case and consult on issues of negligent supervision.

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Stock Broker Duties

Our client represents a group of individual claimants in a securities litigation matter. We are in search of a securities expert who can testify about the duties of a stock broker/financial adviser. Prior industry experience is expected, as well as testifying experience.

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Securities Law Maven

Our client sought a securities law expert to opine on the obligations of officers and directors with respect to revenues, consult, report, and testify.

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Accounting Expert

Our client sought an accounting expert with auditing experience and expertise on FASB 115 to review documents, consult, and testify on the inconsistant way stock was accounted for at the time of transfer.

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Accounting Expert

Our client sought an accounting expert to review records and opine on IRU sales as they relate to revenues and accounting for swap transactions.

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