Financial Institutions and Banking

Fiduciary Duty and Conflicts of Interest

Fiduciary Duty and Conflicts of Interest

The duties and conduct of financial institutions' directors, officers, and other fiduciaries are routinely scrutinized in financial institution litigation. Common themes in litigation include allegations of breach of fiduciary duty and conflict of interest. Examining these claims requires comprehensive and objective analysis of the actions in question, as well as a deep knowledge and understanding of regulatory and industry standards. NERA combines significant financial institution supervision, policy-making, and industry experience with extensive analytical and research capabilities to address these complex issues.

We have provided expert analysis and testimony for both defendants and plaintiffs in a variety of areas, including:

  • Duties of bank boards, and individual directors and officers (D&O)
  • Duties of registered investment advisors (RIAs) and broker-dealers
  • Duties of investment fund trustees
  • Conflicts of interest and non-public information
  • Separation of proprietary vs. consumer accounts
Name Title Location Phone Email
Dr. Patrick Conroy Managing Director
Chair of NERA's Securities and Finance Practice
New York City +1 212 345 1466 patrick.conroy@nera.com
Title Type Author
Recent Trends in Securities Class Action Litigation: H1 2018 Update Report Stefan Boettrich and Svetlana Starykh
Crypto Market Surveillance Has Arrived Published Article Dr. Sharon Brown-Hruska, Dr. Jordan Milev, and Trevor Wagener
Recent Trends in Virtual Currency Regulation, Enforcement, and Litigation White Paper Dr. Sharon Brown-Hruska and Trevor Wagener
Recent Trends in Securities Class Action Litigation: Q1 2018 Update Published Article By Stefan Boettrich and Svetlana Starykh
Cryptocurrencies: Fundamentals, Developments, and Regulation White Paper Dr. Airat Chanyshev
Trends in Canadian Securities Class Actions: 2017 Update Report By Bradley A. Heys and Robert Patton
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Recent Trends in Securities Class Action Litigation: 2017 Full-Year Review White Paper By. Stefan Boettrich and Svetlana Starykh
A Look at Initial Coin Offerings White Paper Timothy McKenna and Sammy Chu
Expert Analysis: Financial Crisis Anniversary - Trends In Credit Crisis Settlements Published Article By Faten Sabry, Sungi Lee, and Linh Nguyen