Securities / White-Collar Investigations and Litigation
Investigation and Prosecution of Allegedly Abusive Practices or Trading
Overview
Engagements

Certain abusive trading practices are potentially subject to criminal and civil enforcement. Our experience in major regulatory enforcement cases has involved intensive analysis of quantitative and qualitative data. We have evaluated business conduct in cases involving consumer finance, mortgage finance, securities structuring, alleged benchmark manipulation, equity market collocation practices, commodity and derivative pricing, and foreign exchange rates.

The Brattle Group applies Big Data analytics and knowledge of equities, fixed income, and commodities markets to analyze trading conduct. This includes cases focused on alleged market manipulation, disruptive trading, conflicts of interest over payments for order flow, cross-trading, and other violations of the Investment Company Act of 1940 or disclosure-related fraud claims.

The complexity and distributed structure of financial markets and the increasing availability of detailed high-volume data is changing the scope of market surveillance activities. The Brattle Group investigates trading abuses such as spoofing, including assembling the necessary data and conducting trading-related forensic analysis. We host Big Data in-house to ensure confidentiality and to respond quickly and cost-effectively, providing the answers to key questions that can only be answered through careful review of the data.