Expert witness consulting can make a serious difference in your case. Here’s why American Elm is right for you:
American Elm Advisors provides Expert Witness consulting and testimony for arbitration cases in the investment and insurance industries. Our skilled team of advisors delivers more than twenty years of compliance experience. As an expert witness we will apply our vast knowledge and experience interpreting and applying the rules and regulations of FINRA, SEC, and Departments of Insurance. We provide professional analysis to successfully defend claims against suspected firm or representative wrongdoing.
Our independent review of the documentation combined with years of industry experience means our team can assist with cases involving regulatory topics including:
- Alternative investment suitability
- U5 & U4 disclosures and amendment requirements
- Customer Complaints
- KYC – Know Your Customer
- Exploitation of Seniors
- Failure to Supervise
- Insider Trading
- Communications with the Public (Rule 2210)
- Senior Suitability
- Electronic Communications
At American Elm Advisors our Compliance experts are equip to aid you throughout the deposition process. Contact us below to inquire about our Expert Witness Testimony Services.