Financial Litigation Support

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

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 an emerging area 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 or defense.

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 is 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.

Licenses:

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

EMPLOYMENT:
Merrill Lynch Pierce Fenner & Smith - '69
Loewi & Company - '73
Blunt, Ellis & Loewi Incorporated (Name change)
Kemper Corporation (successor company) - '88
Investors Fiduciary Corporation (subsidiary)
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
NYSE Branch Office Manager, Securities & Futures
NASD Principal
Regional Manger - recruiting, training, marketing & supervision of Registered Representatives
Executive Vice President, Kemper - divisional and P/L resp.
Chairman - Investors Fiduciary Corporation (Trust Company)
Correspondent Services - execution, clearance, account carrying; omnibus and fully-disclosed
Consultant to major AsiaPacific institutions, instructing key employees in year long programs - trading capital and derivative markets
Trained more than 500 brokers
Wrote 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), Exchange, SRO and AAA arbitration, Federal Reparations Proceedings. Arbitrator in Exchange and SRO arbitration.

Qualifications:

Accepted as expert 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

Walsh, Pfeffer & Co.
605 Woodhaven Drive
Mundelein, IL 60060
847-837-0791
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Financial Litigation Support