We have worked on behalf of plaintiffs and defendants in a variety of securities related litigation matters.  Our work in such cases includes:

  • Analysis and comparison of an investor’s portfolio, if left invested in the securities inherited, in contrast to a portfolio of much more volatile securities (including options) acquired at the direction of the investor’s broker.  The investor was not sophisticated.
  • Analysis and evaluation of an investment portfolio, purportedly hedged to protect against a general decline in market values, in which a few securities were owned long, many put contracts were sold short, and a few call contracts were owned long.  Consideration was given to the weighted average beta of the underlying securities in a process that demonstrated the portfolio’s significant exposure to volatility and likely loss resulting from a small downturn in market prices.
  • Evaluation of an investors claimed losses when a public company called and delisted its warrants.  We documented the speculative nature of the plaintiff’s claimed losses, and its failure to otherwise mitigate.
  • Valuation of options that would have been acquired by a mezzanine debt investor but for an asserted breach by defendant in its obligation to close.  Asserted damages were based on an application of Black Scholes Option Pricing Model.  We evaluated the plaintiff’s actions, and documented that the plaintiff’s Black Scholes input assumptions were little more than speculation.
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