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 New York City +1 212 345 1466 patrick.conroy@nera.com
Title Type Author
NERA Experts Contribute Chapter to "The Future of the Profit Split Method" Book Dr. Harlow Higginbotham and Dr. Vladimir Starkov
Trends in Canadian Securities Class Actions: 2020 Update Report Bradley A. Heys, Robert Patton, and Jielei Mao
Transfer Pricing Roundtable in Financier Worldwide. Expert QA Dr. Vladimir Starkov and Philip de Homont
Amount B: Facts and Circumstances Matter—Even for Routine Distributors Published Article Dr. Harlow Higinbotham, Dr. Niraja Srinivasan, Dr. Vladimir Starkov, and Nihan Mert-Beydilli
Recent Trends in Securities Class Action Litigation: 2020 Full-Year Review Report Janeen McIntosh and Svetlana Starykh
Recent Trends in Securities Class Action Litigation: H1 2020 Update Report Janeen McIntosh and Svetlana Starykh
Snapshot of Recent Trends in Asbestos Litigation: 2020 Update Report Mary Elizabeth C. Stern and Lucy P. Allen
Regulation Across the Border: Developments in Canadian and US Consumer Financial Serv... Published Article Ling Ling Ang, et al.
Economic and Financial Analyses in Australian Securities Litigation in the Wake of TP... White Paper Dr. David Tabak and Dr. Will Taylor
Recent Trends in Securities Class Action Litigation: Q1 2020 Update White Paper Janeen McIntosh.and Svetlana Starykh