Yan Cao

Yan Cao Financial Markets Consultant
Vice President
Organization Profile
Professional Biography

Yan Cao specializes in matters involving financial markets, financial institutions, and financial accounting. Dr. Cao has fifteen years of consulting experience on issues of trading and market manipulation, securities, valuation and M&A, and bankruptcy and restructuring.

In particular, Dr. Cao has assessed pricing and trading issues related to equity, fixed income, commodities, FX, structured products, and derivatives. She has also consulted on matters involving company valuation, solvency, risk management, corporate governance, and damages. Her case experience covers various industries, with an emphasis on banking, broker-dealers, and other financial institutions.

Dr. Cao’s consulting experience includes substantial expertise with regulatory and internal investigations. She has presented analysis to multiple regulatory agencies and to corporate management. Dr. Cao also works with experts in all stages of arbitration and litigation, including trial.

Securities class action litigation

Dr. Cao has worked on a number of notable securities class action matters, including Moody’s Securities Litigation, in which the court denied class certification and granted summary judgment; and IBEW Local 90 Pension Fund et al. v. Deutsche Bank AG et al., in which the court denied class certification. Other elements of her securities work include:

  • Consulting on Section 10b, Section 11, and Section 12 litigation, including market efficiency, price impact, materiality, loss causation, and damages at the class certification and merits stages for equity, corporate bonds, and preferred securities
  • Assessing claims involving exchange-traded and over-the-counter securities
  • Evaluating damages and settlement estimates, as well as mediation strategies


  • More Legal and Business Bylines From Yan Cao


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