Hamden-Securities Litigation-2018

Dahab Associates, Inc.

Request for Proposal – 2018

Securities Litigation

Hamden Employees’ Retirement Plan

  1. Introduction

The Hamden Employees Retirement Plan, located in Connecticut, is conducting a search for asecurities litigation firm, under the guidance of its investment consultant, David Lee, CFA. The Plan has approximately $165 million in total assets. The anticipated services will include both ongoing monitoring of assets for violations of securities laws, as well as a retroactive review of prior holdings within the statute of limitations. All proposals will be evaluated by the investment consultant and recommendations will be made to the Plan. The final decision will be made by the Trustees.

  1. Timetable

Date proposals are due:February20, 2018, 5 pm est

Final presentations: TBD

  1. Proposal Format/Submission
  • Submit one (1) emailcopy of this RFP as a Microsoft Word document, along with all supporting materials, to .
  • Subject line: RFP: Hamden-Securities Litigation-[firm name]
  • Rename this document to Hamden-Securities Litigation-[firm name].doc

The client and Dahab Associates reserve the right to accept or reject any proposals, or any parts thereof, and to waive any formalities in the proposal, constrained by any applicable laws and guidelines, if it is deemed in our client’s best interests to do so.

Summary Information

Firm Name
Location of Headquarters (City, State)
State the Parent Company or if Independent
Year Founded
Number of Securities Litigation Clients
Contact Name
Contact Number
Contact Email
Name of the plan’s day to day operations contact
location of the plan’s day to day operations contact
  1. Overview of the Firm
  1. Please provide a brief history of the firm.
  1. Please list any disciplinary actions brought against the firm or any employee during the past five years.
  1. Have there been any claims filed against the firm or any employees of the firm in the past 10 years.
  1. How manysecurities litigation clients have you gained/lost during the past five years?
  1. What features set you apart from other securities litigation firms?
  1. Clients
  1. Please provide the number of institutional clients under contract into the following types:

# of Clients
ERISA
Public
Taft-Hartley
Endowment
Foundation
Religious Order
Other (Please Specify)

Overall Total

  1. Please provide five references, preferably public funds in Connecticut, and their contact information.
  1. Please provide as an attachment a representative client list.
  1. Team
  1. Pleaseprovide a description of the team that would provide securities litigation services to the Plan.
  1. Please provide biographies for key individuals of the firm.
  1. Please describe the role of the Plan’s custodian in the process.
  1. Please describe the role of the Plan’s staff in the process.
  1. services
  1. Please give an overview of the services that you provide to clients.
  1. Please describe the firm’s willingness to work with other law firms when pursing a class action case.
  1. How many cases did your firm represent the lead plaintiff during the previous five calendar years?
  1. What is the dollar amount of losses recovered during the previous five calendar years?
  1. Does your firm offer portfolio monitoring services? If so, please describe your capabilities.
  1. Does your firm offer a portfolio look back evaluation to determine if the Plan was eligible for settlement money that it previously did not collect? If so, please describe your capabilities.
  1. If your firm offers a portfolio look back evaluation, how many years of holdings are eligible for evaluation?
  1. Does your firm have an exclusivity clause for filing claims?
  1. reporting
  1. What reports are provided to the Plan?
  1. Can your reports be accessed on-line?
  1. Please provide a separate ‘Sample Report’with your response.
  1. fees
  1. Please provide a copy of the current fee schedule.
  1. If your firm offers portfoliomonitoring services, please describe any fees.
  1. If your firm offers a portfolio look back evaluation, please describe any fees.
  1. Please describe any “out of pocket” expenses the Plan would be charged.

1

Dahab Associates, Inc.

2017