Phone: +1-212-949-1180

Address: 60 East 42nd Street, Suite 2816 New York, NY 10165 USA


Dispute Resolution and Regulatory Investigation Support

The senior members of the Rutter Associates team have many years of financial markets experience in financial economics, risk management, sales and trading, and law and compliance.  This experience, together with our team’s core competencies in quantitative finance, valuation, modeling, and statistical and econometric data analysis, enables Rutter Associates to offer a wide range of support to clients engaged in financial markets disputes and regulatory investigations.

Rutter Associates is well equipped to assist clients and their counsel in assessing the strengths and weaknesses of cases from the outset, and to consult with them about the economics, structures and complexities of the financial products and markets involved in their cases. We have substantial experience assisting clients in negotiating and mediating disputes relating to financial market products and processes, providing support to our clients from the initial review of all relevant documentation through the negotiation process.  For arbitration and court proceedings, Rutter Associates acts as consulting experts or as testifying experts or both.  In numerous cases, we have prepared expert reports and provided testimony to explain financial market products and processes, valuations, models and quantitative analyses in understandable terms for arbitrators and judges.  In regulatory investigations, Rutter Associates has provided valuations, statistical data analysis, forensics and assistance with presentations.

Rutter Associates has particular expertise in the analysis and valuation of hard to value assets, including OTC interest rate, currency, credit, equity and commodity derivatives, asset-backed securities and structured credit products. 

Rutter Associates has acted as experts in both arbitration and litigation proceedings in various jurisdictions in the United States (including the Federal Courts and the courts of the State of New York), England, Hong Kong, Singapore and Taiwan.  Members of the Rutter Associates team who have acted as testifying experts include Joe Bauman, Rick Grove, Shyan-Yuan Lee, Neil Pearson, Bob Pickel, Bob Selvaggio and Charles Smithson.

Rutter Associates has acted both for regulators and regulated entities in regulatory investigations.  The matters on which we have been engaged include investigations into financial market benchmarks (including LIBOR and ISDAFIX) and equity futures trading and insurance examinations.  

Our clients have included banks and investment banks, asset managers, insurance companies, non-financial companies and government regulators.  We have provided assistance to clients headquartered in Belgium, Canada, China, France, Germany, Japan, the Philippines, Singapore, Switzerland, Taiwan, the United Kingdom and the United States.