Securities & Finance

Trusted Advisors in Financial and Securities Disputes and Investigations

Secretariat is a trailblazer in applying contemporary financial theory and industry experience to a broad spectrum of securities-related issues and disputes. We are highly regarded for our use of sophisticated and widely accepted statistical methodologies in financial and securities litigation and for providing the comprehensive understanding of financial markets that is essential in conducting investigations and resolving disputes.

Our team of economists and securities experts regularly provide expert testimony, advisory services and litigation support in complex securities and financial litigation, presenting clear and understandable analyses of market efficiency, causation, materiality, class certification, and damages. We effectively address intricate matters ranging from securities, structured finance, and derivatives to valuation, contract disputes, and consumer finance. Our evidence-driven, quantitative analysis, characterized by their rigorous methodologies, hold up to even the closest scrutiny.

We also provide highly skilled teams including forensic accountants and fraud examiners, former investment bankers and investment fund principals, valuation experts, business intelligence experts, and forensic data specialists to support clients and counsel in internal investigations across the entire range of securities fraud, compliance and enforcement issues. These include accounting and disclosure issues, market manipulation, insider trading, crypto fraud, money laundering, Ponzi schemes, investment adviser fraud, and whistleblower complaints.Our expertise also extends to tax litigation, where we advise clients and provide testimony on matters encompassing economic impacts, economic substance, risk management, transfer pricing, and valuation.

The scope of challenges our clients have faced

Secretariat has assisted clients in a myriad of business, financial, and securities-related challenges, including the following and more:

• Interest rate manipulation
• Mortgage-backed securities violations
• High-frequency trading
• Mutual fund market timing
• Stock-based compensation
• IPO allocations
• Contested mergers
• Class action litigation brought under both securities laws and ERISA
• Securities fraud
• Insider trading
• Independent monitoring and compliance consulting
• Investment adviser litigation
• Market manipulation
• Materiality and other disclosure issues
• M&A, public offering, and private equity transactional disputes
• Officer and Director litigation and other corporate governance disputes

Collaboration and communication: keys to a successful resolution 

The cornerstone of our methodology is ongoing collaboration and transparency within our teams and with our clients. Experts from various segments of Secretariat’s practice, whose specialized knowledge and experience provide both insight and value, team when necessary with highly regarded academic and industry experts in various research and analytical disciplines who enhance the service we provide to clients. By fostering an environment of constant and transparent communication, we develop and execute creative and compelling solutions to our clients’ litigation challenges based on a thorough grasp of their business imperatives and objectives.

Key Experts

All Securities & Finance Experts