Capital Finance
Banking & Financial Litigation Consulting
Expert Witness Testimony
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Code of Ethics

I.       Impartiality  

        A.     We will, at all times, provide opinions and serve based upon our experience, industry knowledge, independence and objectivity.

        B.     When testifying, we will impartially assist the court on relevant matters within our area of expertise.

        C.     We will fully cooperate with retaining counsel, but shall remain independent and professional and not let advocacy interfere with independent and honest judgment.

        D.     We will present a complete, representative and unbiased picture of the research relevant to the case and to our expert opinions. 

II.      Confidentiality 

        A.      We will understand the rules of confidentiality applicable to the case and jurisdiction in which we are retained.

        B.      We will assume that all communications with the client or with retaining counsel may be subject to disclosure through discovery and testimony, unless instructed otherwise by retaining counsel. 

III.     Fees 

        A.      We are entitled to fair reimbursement for all work performed.  Our fees are based on hourly billing and on the reasonable value of the work.

        B.      We do not contract for nor accept, in any way, a fee that is contingent on case outcome.

        C.      We will remain free from any financial inducements that might interfere with the ability to testify truthfully and impartially.

        D.     We will not be retained as an expert witness solely to preclude us from being retained by an opposing party. 

IV.     Communications 

        A.      We will not communicate with adverse counsel except through the process of formal discovery and judicial procedure after we have been retained in a particular case.

        B.      We will not engage in ex parte communications with the judge or jurors when we have been retained in a particular case. 

V.      Conflicts of Interest 

        A.      We may ethically accept concurrent engagements that are both favorable and adverse to the same party in different cases, providing the opinions are logically consistent.  We will not accept conflicting engagements, either concurrently or successively, that are factually related.

        B.      We will not, even following discharge or release, violate the original client's reasonable expectation of confidentiality.

        C.      We will not accept any assignment where we have any financial interest in the case or its outcome.

        D.      Until we are formally retained in a matter, we are under no obligation to refrain from communicating with any party or its attorney. 

VI.     Professionalism 

       A.      We will accept only engagements that are within the our area of competence and training.  We will not offer opinions and testimony beyond the scope of our expertise.  We will not purport to be an expert in matters in which we have limited knowledge or experience, or in any matter in which professional peers with the same level of knowledge and experience would not hold themselves out as experts.

       B.      We will ensure that all analysis and other operations leading to conclusions and opinions are based on adequate and accepted procedures within the profession.

       C.      We will be clear about the strength of our conclusion or indicate an opinion is inconclusive because of insufficient data.

       D.      We may change an opinion if new or previously undisclosed material facts come to our attention which warrant a change and will update an opinion in light of such new information if there is continuing reliance on the opinion.  If we change an opinion on a material matter after providing a report to the client, we will promptly provide the client with a supplementary report explaining the change.

       E.      Our written reports reflect our independent analysis and opinion.  While we and the retaining attorney may discuss the contours, scope and subjects of the report, the final product will conform to the our findings and conclusions.

       F.      We will not knowingly present opinions or testimony that are false or misleading.

       G.     We will not accept the client's characterizations or conclusions without exercising due diligence by inquiring into the underlying facts.

       H.     We will provide opinions that are reasoned and based on our own analysis.  We will not exclude issues that are material to the client's purpose and within our expertise.

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