Sententia LLC  

LITIGATION CONSULTING & EXPERT WITNESS TESTIMONY

Financial Service firms are subject to intense regulation from numerous governing bodies, never ending demands of market evolution and the changing needs of client’s. In the overwhelming majority of circumstances, the interactions, processes and procedures are effective, fair and balanced.

On occasion, participants may disagree on the propriety of the process or events affecting their assets. One may feel that something went wrong and they are entitled to be made whole or a regulator is concerned that the spirit and intent of a rule or regulation was not strictly followed. As a result, broker dealers and institutions are tasked with demonstrating that the actions taken – or not taken -were in conformity with industry standards and practices. Given the mosaic of factors attendant to the event, the truth is often not always obvious and not as simple as a single event or factor. These issues often involve a sequence of events and contributing factors with varying degrees of impact on the ultimate outcome.

The roles of all involved participants contributed to the end result. Navigating this complex landscape can be time consuming and costly. Gathering the information requires collecting the market data, reviewing multi-departmental records, facts known to and actions taken by the parties, controlling agreements, industry rules, regulations, best practices and applicable laws. Then a team of qualified professionals needs to analyzed and objectively consider the circumstances and facts to establish the legitimacy of the alleged breach.

Attorneys are consulted to assist in the assessment and opine on the legal merits of proceeding. As we all know the legal burden necessitates demonstrating how the actions deviated from governing law, rules and regulation. This is where Sententia LLC’s independent experts can be critical to a successful outcome.

The consulting & testifying experts affiliated with Sententia possess cross-disciplined, hands on practical managerial experience overseeing and upholding industry performance standards. We possess a detailed understanding of how the governing regulations, rules and compliance obligations are applied and documented within the financial services community. Our expertise extends to many of the underlying issues subject to regulatory investigations, trials, arbitrations & mediations. Additionally, we understand how the processes should work, be documented, supervised, communicated to clients and what the roles and responsibilities are of the parties involved.

The utilization of consultants and experts with knowledge from active participation in the evolution of the industry, while serving at multiple levels of management and supervisory oversight, offers a balanced, focused and insightful assessment of a situation or event. Experts are available to work closely with regulators, attorneys, investors and brokers to investigate matters and identify what went right, what went wrong and whether or not remedial action or compensation is recommended.

Sententia LLC – ‘PERSPECTIVE THAT MATTERS’