Securities Claims Management, LLC
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Services for Attorneys

With the stakes of securities arbitration getting higher, it has become increasingly important for Claimants and the attorneys who represent them to have the best analysis, case management and understanding of arbitration procedures in their corner.

SCM provides years of securities litigation experience to assist attorneys in the specialized field of FINRA arbitration and can navigate a case from its initial consultation to a meaningful and rewarding recovery.

SCM provides attorneys a unique hybrid of expert analytics and superior litigation support at a remarkably affordable price.

Services that Securities Claims Management provides include, but are not limited to, the following:

Initial Case Review and Consulting
The success of every case is dependent on the initial review and analysis of the facts.  SCM knows the right questions to ask at this critical point and can determine if a potential case will lead to a meaningful recovery.

Damage Analysis
At the heart of every securities case is a comprehensive analysis of the damages.  SCM utilizes the latest analytic tools to provide the following reports:

        ·  Net Out-of-Pocket Analysis
        ·  Profit/Loss Analysis - by Month
        ·  Profit/Loss Analysis - by Security
        ·  Trade by Trade Analysis
        ·  Individual Security Summary
        ·  Market Comparison
        ·  Market Adjusted Damages
        ·  Suitability Analysis
        ·  "What If" Analysis
        ·  Asset Allocation Analysis
        ·  Margin Analysis
        ·  Annualized Turnover Ratio
        ·  Annualized Cost/Equity Maintenance Ratio

All reports can be customized to provide you the tools necessary to present your client’s case in its most favorable terms.

Expert Testimony
SCM stands behind all of its reports and will gladly testify in regards to the validity of the results and the procedures used to obtain them.

Account Forensics
SCM determines what happened when, how, and why in the account in question.

Comparative Analysis of Opposing Damages Report
A Comparative Analysis offers a direct comparison between two Profit & Loss analyses revealing differences and reconciling them.

Drafting Pleadings
From the Statement of Claim, to Discovery Requests and Responses, to Motions and Briefs; SCM has a wealth of experience and expertise in drafting all types of pleadings throughout a case.

Discovery
SCM's specialized know-how breaks down the challenges of FINRA's limited discovery process.  Because of SCM’s knowledge and experience of the inner workings of a brokerage firm, we get the most out of a brokerage firm's secretive document management.

When documents are produced, SCM provides a thorough review and analysis of the information contained in them.

If additional information is required from third parties, SCM drafts the necessary Subpoenas Duces Tecum and accompanying Motions for you.

Document Management
SCM is skilled in the organization and management of complex and large document cases.  Beyond the organization of documents, SCM can create a full index of the production of documents giving you fast and easy access to the documents you need the most.  SCM also has a keen eye for identifying a case's "hot" documents.

Case Management and Strategizing
One of the most important issues for every Claimant is to keep their case moving towards a quick resolution.  SCM keeps your securities case on track and on time with accurate calendaring and creative case strategizing.

Arbitrator Research and Ranking
SCM utilizes the best resources to research and rank in preference the list of proposed arbitrators presented by FINRA in every case.

Exhibit Preparation
SCM has the creative tools and design know-how to create persuasive Demonstrative Exhibits.  SCM provides PowerPoint Presentations that will assist you in guiding an arbitration panel through the key issues and exhibits.

Assistance in Mediation and Settlement Negotiations
The partners of SCM are trained and experienced in the art of negotiating.  With a principle of fairness in mind, the partners of SCM have been involved in successfully settling most disputes prior to the unpredictable arbitration hearing.

Arbitration Hearing Attendance and Support
SCM will gladly attend your arbitration hearing or mediation.  Having an extra set of experienced eyes and ears in the room will give you the freedom to litigate your case to your fullest potential.  The SCM partners have years of experience in hearings and mediations and can provide insight to what is happening and what will happen next.

Secure Mass Document Digital Storage
SCM utilizes a safe and secure electronic document storage site for the transmittal of document files.  No longer will you have to spend time and money making multiple copies of documents and dealing with the hassle and expense of shipping them.


SCM's tested and proven analytic tools and procedural knowledge give you efficient and affordable case analysis.  If you are tired of seeing a large percentage of your client's award go to pay an expert's fee, contact SCM and see how you can save your client from the average expense of retaining objective case analysis and expert testimony.  Click here for a copy of SCM's current Fee Schedule.

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