Understanding Securities Litigation Issues Will Build a Successful Case Strategy.
Our securities fraud litigation expert witness service assists you in building a strategy and then successfully implementing it in court. Over 19 years, we have found the following process to be instrumental in using an expert witness successfully.
The Five Attributes of a Successful Expert Witness
1 – Know Financial Products Intimately. Communicate them Clearly
Can you clearly explain the difference between a variable annuity and a mutual fund to a jury or arbitration panel? To the untrained ear, securities products are a jumble of acronyms, financial concepts, and jargon. Even the most sophisticated jurors (and some attorneys) can become confused without a clear definition.
R. Djokic & Associates, LLC uses layman’s terms to explain how the investments work, and how they are intended to return financial benefits to the investor. Here are just some of the financial products with which we are highly familiar:
- Equities
- Mutual funds
- Bonds
- Treasury products
- Variable annuities
- Stock products
- Money market funds
- Derivatives
- Real estate investments
- IRAs
- Currency exchange funds
- Limited partnerships
- Hedge funds
- Investment contract/”exotic” securities
- And many others…
2 – Know Brokerage Sales Practices Thoroughly
Investment professionals are held to high standards by self-regulatory principals, as well as state and federal regulatory agencies. Most brokers take their fiduciary and sales ethics responsibilities very seriously. However, when money is lost, investors often assert a variety of violations against their brokers. In these circumstances, an expert witness like R. Djokic & Associates, LLC is invaluable.
Here are just some of the sales practices we are fully knowledgeable on:
- Churning
- Suitability
- Unauthorized trading
- Securities/investment fraud
- Margin requirements
- Licensing issues
- Supervision
3 – Use Insight to Assemble the Knowledge into a Successful Strategy
Because we know the ethical and legal requirements placed on brokers, their employing firms, and investment advisors, we can weigh the strengths and weaknesses of different strategies. We can analyze liability and damages when sales ethics or practices are being challenged. Most importantly, our broad base of experience enables us to offer tremendous insight into key issues that will solidify your client’s case.
4 – Decide When to Bring it to the Table
Regardless of the stage you’re at, R. Djokic & Associates, LLC gets up to speed fast. We can add value at any time:
- During the initial review phase
- After you have filed a case
- Your case has proceeded to mediation
- Or are at the trial phase
If your law firm is involved in representing a client in a securities products or fraud case, you need to make sure you have a solid handle on all of the investment product issues that may be at issue. As securities industry arbitration expert witness, R. Djokic & Associates, LLC can make it happen.
With our securities fraud litigation expert witness service on your side, you’ll have an edge up on the opposition. Contact us today to find out what we can do for you case.