White Collar Criminal Litigation, Investigations, and Compliance

Broker/Customer Disputes

Broker/Customer Disputes

Brokers and investment advisors have duties under the law to know their customers' investment needs and tolerance for risk. Often when investors lose money, they consider whether investments made by their advisor or recommendations made by their broker were appropriate. For more than two decades, our economists have been called upon to render opinions in disputes between investors and their broker-dealers, investment advisors, and fund managers. NERA experts have provided analyses supporting investors and brokers for use in arbitration and the courtroom. Our work has focused both on liability, examining allegations such as unsuitability and churning, and damages, measuring how much investors might have earned under an alternative investment strategy. Our expertise with financial theory and experience with various trading strategies and instruments allows us to put ourselves in the shoes of parties while the investment decisions were being made in order to better focus on whether the trading practices at issue were appropriate.

Name Title Location Phone Email
Dr. Andrew Carron Chairman New York City
London
+1 212 345 5407
+44 20 7659 8500
andrew.carron@nera.com
Lucy P. Allen Senior Vice President New York City +1 212 345 5913 lucy.allen@nera.com
Mark L. Berenblut Senior Vice President Toronto
New York City
London
+1 416 868 7311
+1 212 345 2687
+44 20 7659 8644
mark.berenblut@nera.com
Dr. Alan Cox Senior Vice President
Chair of NERA's Intellectual Property Practice
San Francisco
Beijing
Toronto
+1 415 291 1009
+1 415 291 1009
+1 416 868 7314
alan.cox@nera.com
Matthew Evans Senior Vice President New York City +1 212 345 2945 matthew.evans@nera.com
Dr. Vinita Juneja Senior Vice President
Co-Chair of NERA's White Collar Criminal Litigation, Investigations, and Compliance Practice
New York City
London
Toronto
+1 212 345 3148
+44 20 7659 8618
+1 416 868 7314
vinita.juneja@nera.com
Dr. Denise Neumann Martin Senior Vice President New York City +1 212 345 5296 denise.martin@nera.com
Dr. Marcia Kramer Mayer Senior Vice President New York City +1 212 345 2196 marcia.mayer@nera.com
Dr. John Montgomery Senior Vice President New York City +1 212 345 5411 john.montgomery@nera.com
Dr. Chudozie Okongwu Senior Vice President New York City
London
+1 212 345 5003
+44 20 7659 8568
chudozie.okongwu@nera.com