For nearly 30 years, SLA principals have provided quantitative securities analysis and investor suitability and supervision analysis to clients involved in arbitrations, regulatory reviews and internal investigations. We have been retained in more than 5,000 matters and have provided expert-witness testimony in more than 350 arbitration hearings. We offer our clients:
Detailed analysis and reporting
Our services include quantitative securities and portfolio analyses. These detailed, case-specific analyses are invaluable to help counsel evaluate the opposing party’s assertions, value financial exposure to the firm, and provide evidence in defense of the firm and its employees at arbitration hearings.
We provide consulting services as experts on the quantitative issues of a case, and on case-specific industry liability issues such as supervision, suitability, trade authorization, and account authorization and control. We also provide more-general consulting on financial markets and retail financial instruments and products.
We are experts on a wide variety of investment products: common stocks, preferred stocks, listed options, margin usage, exchange-traded funds, master limited partnerships, REITs, open- and closed-end mutual funds, hedge funds, private placements, private equity investments exempt from SEC registration, variable annuities, variable universal life contracts, municipal and corporate bonds, asset-backed securities, and many other financial instruments.
Experience on the witness stand
SLA’s principals have more than 60 years combined experience working in litigation support, primarily with retail brokerage clients. We also bring decades of experience working directly in the financial services industry and in brokerage firm retail branch offices. Our experts have testified in more than 350 arbitration hearings, as industry experts and as branch managers while working in the financial services industry.