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The Duties and Responsibilities of Broker Dealers

On behalf of Barclays Capital in a disputed margin call brought by the bankruptcy trustee of Thornburg Mortgage, Brattle identified and supported an industry expert in Master Repurchase Agreement custom and practice regarding rights and remedies under the Agreement. A Brattle principal also analyzed the bank’s trading, collateral marking, and collateral sales processes.

A Brattle principal testified in New Orleans City v. Paine Webber et al. in connection with a municipal bond issuance and associated interest rate swap, remarketing agreement, bond insurance, and surety bond. Testimony topics included municipal bond valuation, market custom and practice, foreseeability of market events, credit ratings, and municipal bond insurance.

On behalf of a leading broker-dealer in a FINRA arbitration alleging investment suitability violations, Brattle identified and supported an industry expert regarding the duties and responsibilities of a clearing broker and an economist providing damages testimony.

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