Financial Misconduct

What financial misconduct means here

Financial misconduct investigations begin where a financial professional fails to act in accordance with legal and ethical standards in handling transactions for, or advising, a member of the public. The pattern recurs: unsuitable products sold against an employer plan, pressure to annuitize a pension, fees charged far beyond the work performed.

Our financial misconduct investigations are retained by claimants, by professionals who have been wrongly accused, and by counsel on either side. We work alongside our securities litigation support and forensic accounting teams, and coordinate broader economic consulting and valuation where a matter calls for it.

What financial misconduct investigations quantify

• Well-managed portfolio comparison — what the account would have been worth under a suitable allocation.
• Fee analysis — fees charged against services actually rendered, and their compounding effect over time.
• Product comparison — the economics of what was sold against the alternative that was displaced.
• Pension and annuitization decisions — present value of the option taken against the option foregone.

What we need to start

For the conflict check, party names only.

Once engaged: account statements over the period, the product or policy documents, the suitability or advice record, and the client’s stated objectives at the time. Where suitability turns on what was said rather than written, the economic analysis can still show the size of the divergence.

Frequently asked questions

Do you work for the accused professional as well as the claimant?

Yes. A misconduct allegation is not a finding, and the same analysis that sizes a loss can show there was not one.

Is this arbitration work?

Often — FINRA and similar forums. The analysis is the same; the presentation is tighter.

What are your rates?

We send the rate schedule and a full CV with the proposal after the scoping call.