LITIGATION CONSULTING & EXPERT WITNESS TESTIMONY
Financial Service firms are subject to intense regulation from various governing bodies, never ending demands of market evolution and the changing needs of clients. Under the overwhelming majority of circumstances, the process works.
On occasion, things may not work out ideally for all parties. 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 the propriety of the actions taken – or not taken. Give the mosaic of factors attendant to the event, the truth is often not 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, 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 considered the circumstances and facts to establish the legitimacy of the alleged breach.
Attorneys are consulted to assist in the assessment and opine on the 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 experts can be critical to a successful outcome.
The consulting & testifying experts at Sententia LLC possess cross-disciplined, hands on practical managerial experience overseeing and upholding performance standards. We possess 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 knowledge gained from active participation in the evolution of the industry while serving at multiple levels of management and oversight has shaped our perspective to allow us to offer balanced, focused and insightful assessment of a situation or event. We work closely with brokers, regulators, attorneys and investors to investigate matters and identify what went right, what went wrong and whether or not remedial action or compensation is appropriate.
