Investment Banking Expert Witness

Investment Banking Expert Witness

Investment Banking

Litigation in investment banking has increased substantially in recent years as a result of the economic crisis starting in 2007. Investment banks have been left exposed to claims from investors who have made significant losses due to investment products failing to live up to expectations.

At Expert Evidence we have been involved in a wide variety of litigation in the investment banking sector, including derivative mis-selling cases, contract for differences cases, structured products and cases involving substantial losses incurred through investments in futures, options and open derivatives.

Brochure Fraud and Mistakes

False or unsubstantiated claims are sometimes found to have been made in investment banking brochures, leaving investors misinformed and unhappy. Sometimes these claims are innocent mistakes, but still constitute as the mis-selling of information.

Inadequate Brochure Claims

Disputes sometimes also arise off the back of inadequate brochure claims where again, false or unsubstantiated claims mislead clients and are challenged once exposed or when losses are incurred.

Initial Public Offerings (‘IPO’s‘)

When a company goes public, its finances, operations and even details around senior staff becomes open to public scrutiny. The company becomes subject to auditing, rules around disclosure, and challenges from shareholders. This level of scrutiny and exposure combined with the complex preparation involved in the lead up to the IPO has in multiple cases ended in protracted litigation.

International Capital Markets

Problems can sometimes occur relating to the issue and trading of international bonds, such as Eurobonds, Floating Rate Notes, Floating Rate CDs, convertible bonds, dual currency bonds, commodity linked bonds, medium term notes and note issuance facilities and programmes, or with syndicated loans, leading to questions of liability.
Such bonds may be issued by, or loans made available to, governments and public sector bodies, companies, partnerships, individuals and other entities and the issuer or borrower may become reluctant or unable to pay what is due on them.

Sometimes proper due diligence enquiries were not made in relation to issues of debt or equity securities and this can lead to allegations that the banks managing the issue or syndicate have been negligent.

Investment Fraud on Individuals

Under recent legislation, individuals in the UK have been given control over their pension savings and the freedom to withdraw them from pension schemes and invest them personally. This has opened up the possibility for fraudsters to exploit such individuals, inducing them to invest in unsuitable or highly speculative schemes or even downright frauds. Increasingly victims of such fraud are seeking redress from institutions or firms associated with their pension schemes.

Takeovers and Mergers

The complex formalities surrounding the lead up to takeovers and mergers often give way to legal wrangling and even full blown litigation.
Takeovers and Mergers conduct in the UK is regulated by the Panel on Takeovers and Mergers and subject to the principles and rules of the City Code on Takeovers and Mergers . This protects the Takeover and Mergers process from hostile takeover bids and illegal market practices, including insider dealing and engaging in misleading behaviour, and ensures an established and fair framework. Expert Evidence’s team of experts have drawn upon their industry expertise and legal knowledge to help navigate the complexities of the takeover and mergers process in multiple cases both in the UK and internationally.

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