WALSH PFEFFER & CO.

 Litigation Support

Walsh, Pfeffer & Co. provides litigation support (case evaluation & expert testimony) in disputes rooted in transaction of stocks, bonds, options, mutual funds, commodities, futures, or other derivative instruments, and mediation services.

Services:

Experienced in virtually all facets of disputes in the securities, investment and trading industry. Panel selection, damage calculation, written opinions, expert testimony. Experience in international arbitration / Tribunal hearings.

Investment, Trading and Personnel Disputes:

Evaluating disputes between the investing/trading public and brokerage firms, and between investment firms and registered personnel. Also experienced in emerging areas  of controversy: "financial suicide" and "raiding".

Case Evaluation:

Our years of "hands on" industry experience makes us particularly effective in case evaluation. We usually "know where to look, and what to look for", to develop an opinion about the merits and the probable outcome of a pending action.

Litigation / Arbitration Support:

Our work has been in support of both defense and plaintiff / claimant parties to disputes, nationally. We produce exhibits and other collateral material designed to simplify what are often highly complex and arcane systems, procedures, and methodology.

Profile:

Experts include people from all facets of the investment industry, retail to wholesale, operations, compliance, Broker/Dealer principals, raiding, sales supervision, underwriting, merger, acquisition, divestiture.

Registries (licenses) held:

  • S-3 ((Commodity futures & Options)
  • S-7 (General Securities)
  • S-8 (Sales Supervision)
  • S-8BM (NYSE Branch Office Manager)
  • S-24 (Securities Principal)
  • S-52 (Municipal Securities)
  • S-63 (State Blue Sky)

All granted 1969 - 1980

Professional Experience:

Peter J. Pfeffer, Managing Partner

Employment:

  • Merrill Lynch Pierce Fenner & Smith - '69
  • Loewi & Co. - '73
  • Blunt, Ellis & Loewi Incorporated (Name change)
  • Kemper Corporation (successor company) - '88
  • Investors Fiduciary Corporation (subsidiary trust company)
  • London Investment Trust ("LIT") - '91
  • Internationale Nederlanden Gruppe ("ING") / Baring Bros - 94
  • LIT Division of Speer Leeds & Kellogg - '97

 

Experience:

  • NYSE/NASD Registered Representative
  • NFA Associated Person / Branch Manager, Securities & Futures
  • NASD Principal
  • Regional Manager - recruiting, training, marketing & supervision of Registered Representatives
  • Executive Vice President, Kemper Clearing Corp. - divisional and P/L resp.
  • Chairman - Investors Fiduciary Corporation (affiliated trust company)
  • Correspondent Services - execution, clearance, account carrying; omnibus and fully-disclosed
  • Consultant to major Asia Pacific institutions, instructing key employees in year-long programs - trading capital and derivative markets
  • Trained more than 500 brokers
  • Wrote sections of compliance and procedures manuals
  • Corporate finance - underwriting, private placement, merger acquisition, divestiture

Legal Experience & Services

Since 1980, the principals of Walsh, Pfeffer have provided litigation support in civil litigation (bench and jury trials), Exchange, NASD, AAA and NFA arbitration, and Federal Reparations Proceedings.

Accepted in Federal and State courts (Jury & Bench trials), Exchange, SRO and AAA arbitration, Federal Reparations Proceedings. Arbitrator in Exchange and SRO arbitration. 

Qualifications:

Accepted as experts in all venues.

Professional References:

References available from attorneys with which we have worked in the past.

Education:

See individual CV's

Consulting Practice:

All States

Areas of Expertise

  • Alternative Dispute Resolution
  • Bonds
  • Case Evaluation
  • Commodities Futures
  • Derivatives
  • Financial Analysis
  • Financial Litigation Support
  • Securities Fraud
  • Investment
  • Investment Advisor
  • Investment & Trading Disputes
  • Litigation
  • Options
  • Raiding
  • Securities
  • Variable Annuities