Fiduciary Duties Regarding Proprietary Trading and Inside Information

In the context of a dispute regarding the fiduciary duties of a financial institution with respect to ERISA clients, assessed the institution’s investment recommendation process and controls. This included an assessment of the institution’s information walls and related processes, designed to prevent trading on material non-public information and inappropriate conflicts of interest. Report submitted and deposition provided. Judge granted motion for summary judgment for case portion, agreeing with report and deposition submitted.