Securities & Finance / Industry Custom and Practice
Investment Management Valuation, Due Diligence, and Disclosure Practices

In various claims adverse to Morgan Keegan & Company, Inc., a Brattle principal testified for respondents’ counsel in FINRA arbitration disputes involving mutual fund and closed-end fund investments. Topics covered included structured finance, market and credit risks, fund disclosures, the financial market crisis, valuation, and damages.

In an SEC investigation, Brattle identified and supported an industry expert in mutual fund pricing, valuation, and disclosure practices.