Expert Witness Services
Expertise thatstands up in testimony.
Expert witness consulting can make a serious difference in your case. American Elm Advisors provides expert witness consulting and testimony for arbitration cases in the investment and insurance industries — more than twenty years of compliance experience interpreting and applying the rules of FINRA, the SEC, and Departments of Insurance.
Jessica Murray
Partner & Chief Compliance Officer
More than two decades of experience across bank-affiliated broker-dealer, investment adviser, insurance, annuity, and alternative investment environments. FINRA Series 6, 7, 24, 53, 63, 65, and 99 registrations; B.S. in Management from Bryant University.
Memberships
- Securities Expert Roundtable
- 11 Canterbury
- National Society of Compliance Professionals
Areas of Testimony
Independent review. Industry-seasoned judgment.
Broker-Dealer & RIA Supervision
Two decades supervising broker-dealer and registered investment adviser activity — sales practices, operational controls, and the supervisory frameworks regulators expect to find.
Regulatory Investigations & Examinations
Firsthand experience managing SEC, FINRA, and state regulatory investigations and examinations — and translating that perspective into credible, independent analysis.
Suitability & Fiduciary Standards
Deep command of suitability and fiduciary obligations across annuities, alternative investments, and related financial products — including senior suitability and exploitation matters.
Testimony & Deposition Support
Professional analysis and testimony for arbitration and legal proceedings, with support throughout the deposition process and interpretation of FINRA, SEC, and insurance regulation.
Case Topics
Our independent review assists with cases involving:
Engagement Process for Counsel
We begin with a confidential conflict check and preliminary document review, followed by a scoped engagement letter. Our team then conducts an independent analysis of the documentation — applying decades of supervisory and regulatory experience — and supports your matter through report, deposition, and testimony as required.
Common Questions
Frequently asked questions.
Inquire about expert witness services.
Contact us to discuss your matter confidentially.