White Collar, Investigations and Enforcement

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
Lucy P. Allen Managing Director New York City +1 212 345 5913 lucy.allen@nera.com
Bradley A. Heys Managing Director Toronto
New York City
+1 416 868 7312
+1 212 345 3000
brad.heys@nera.com
Dr. Graeme Hunter Managing Director New York City +1 212 345 7724 graeme.hunter@nera.com
Dr. Vinita Juneja Managing Director
Chair of NERA's White Collar, Investigations and Enforcement 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 Managing Director Miami +1 305 808 7880 denise.martin@nera.com
Dr. Faten Sabry Managing Director
Chair of NERA's Global Securities and Finance Practice
Bankruptcy Practice Chair
New York City
London
+1 212 345 3285
+44 20 7659 8618
faten.sabry@nera.com
Dr. Jordan Milev Director New York City +1 212 345 5516 jordan.milev@nera.com
Robert Patton Director Toronto
London
New York City
+1 416 868 7318
+44 20 7659 8620
+1 212 345 3000
robert.patton@nera.com
Dr. Stephanie Plancich Director New York City +1 212 345 7719 stephanie.plancich@nera.com
Dr. Sharon Brown-Hruska Affiliated Consultant Washington, DC +1 202 466 3510 sharon.hruska.affiliate@nera.com
Dr. Andrew Carron Affiliated Consultant New York City
London
+1 212 345 5407
+44 20 7659 8500
andrew.carron.affiliate@nera.com
Dr. Alan Cox Affiliated Consultant San Francisco +1 415 291 1000 alan.cox.affiliate@nera.com