John Duval Associates

John Duval Associates creates strategies to assist our clients in all stages of securities litigation. Our knowledge of financial markets, industry experience, and the dispute and litigation process make us a powerful ally as you evaluate, frame, make and present your case.

In addition to pre-filing opinions, we can provide well documented opinion reports, fact analysis, strategic planning, critique of opposing experts, risk analyses, exhibits, and testimony.We will analyze and evaluate the merits of a potential case for liability (and damages, if needed) before a claim is filed as well as offer help in defending a claim.

We bring a wealth of knowledge to the arbitration process, built from decades of industry experience, in-depth study of SRO rules and participation in hundreds of security arbitration cases, dozens of mediations and testimony in over 50 arbitrations and civil proceedings. From our knowledge base we are able to help attorneys evaluate and frame their cases, draft a Statement of Claim or Answer and formulate a litigation strategy.

John's 38-year career in the financial services industry includes six years of Merrill Lynch management at the branch and district levels, subsequent securities consulting, asset management, and securities arbitration and litigation.

At the District level, in New York City, John managed over 40 'Specialists' who served 700+ brokers and their clients in specific areas as trust, financial planning, insurance, mutual funds, managed money, mortgages, business loans, high net worth, structured products, and risk management.In these areas, John was also responsible for compliance, suitability, and supervision along with the respective branch managers in the District.

As an expert witness, mediator, and arbitrator, most of the cases in which I've been involved have concerned suitability or supervision in the context of the usual retail disputes between brokers and customers. But because I formerly held a unique management position with Merrill Lynch as the District Annuity Specialist in their New York City District, I also am being retained in a lot of cases involving the sale of variable annuities.

The first hedge fund was started in 1949 by Alfred Winslow Jones, son of the GE-famous Arthur Winslow Jones, while a journalist for Fortune Magazine. Jones had a fascinating early life. He was born in Melbourne, Australia, and moved to the U.S. when he was four years old.

After graduating from Harvard, he toured the world as a purser on a tramp steamer and later joined the U. S. Foreign Service, where he was vice consul for the U.S. Embassy in Berlin during the 1930s, as Hitler rose to power.During the 1940s, Jones was a writer for Fortune Magazine, covering a myriad of subjects.