Category Archive for: Securities and Regulation

Suitability

We have been engaged in hundreds of investment suitability cases and have testified in all three aspects of suitability: reasonable basis, customer specific, and quantitative. Our industry experience and advanced regulatory training by FINRA/Wharton gives us a unique perspective in our suitability testimony.

Insurance Products

We have extensive industry, consulting, and testifying experience in insurance products.

Traditional Investments

Our academic and industry background in the evaluation and sales of traditional investments spans 18 years. We have consulted in well over 200 litigations, most of which involved traditional investments.

Portfolio Management Theories

Our economics and industry background give us an extensive foundation as to the theory and practice of portfolio management and how they fit with industry rules and regulations.

FINRA Regulation

We have broad and deep expertise in the FINRA rules, including training by FINRA at the Wharton CRCP program and the review of policy and procedure manuals from all types of firms across the country.

Broker-Dealer Compliance

On July 9, 2012, FINRA Suitability Rule 2111 took effect. This update of Rule 2310 added a formal quantitative suitability criteria. Accelerant has developed a statistical technique for analyzing customer accounts for quantitative suitability. It is designed to generate red flags when certain account traits exceed defined thresholds. Instead of setting these thresholds at fixed…

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RIA Regulation

We have experience running our own Registered Investment Advisory firm and family office and have testified in many RIA cases.

Private Placements

Accelerant has consulting and testifying experience in many different types of private placements. We have evaluated and sold private placements while at Merrill Lynch as well as from our Registered Investment Advisory firm. We have reviewed thousands of private placement prospectuses, offering memorandums, and circulars.

Structured Products

We have consulted and testified in multiple litigations involving structured products and have extensive academic and industry experience in the evaluation and analysis of structured products.

Securitized Products

Accelerant has consulted and testified in numerous securitized product litigations, including a $220 million Auction Rate Securities regulatory matter for the FINRA Department of Enforcement.

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