Category Archives: Team Member

Paul C. Carroll

Providing analytic and testimonial expert witness services in connection with trials, arbitrations, and regulatory proceedings related to the securities and commodities industries. Expertise extends to broker-dealer and prime broker operations and margin, clearance, security industry practice and standards, risk based margin and haircuts, portfolio margin, options operations and clearance, TIMS/SPAN margin, trades processing, and NSCC and CNS settlement processes.

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Robert E. Conner

Testimonial and analytic experience since 1983 in over 800 disputes involving both equity and debt instruments and their specific-issue and index derivatives, as well as options, futures and forward contracts on commodities, financial indices and foreign currencies. Expertise extends to asset allocation, portfolio management and hedging, fundamental security analysis, trading, prime broker operations, margin, structured products, collateralized mortgage obligations (CMOs), securities industry practice and standards, after-tax considerations, suitability, adequacy of risk disclosure, risk arbitrage and direct investments, loss causation and damages.

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