Estella LLC
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    • Home
    • About
    • Services
    • Expert Witness
    • Clients
    • Testimonials
    • Affiliations
    • What's New
    • Contact
  • Home
  • About
  • Services
  • Expert Witness
  • Clients
  • Testimonials
  • Affiliations
  • What's New
  • Contact

expert witness / LITIGATION EXPERIENCE

FINRA Dispute Resolution Services - Arbitrator:

  • 2021 - present 

Consulting Expert for an Investment Management Company:

  • Contributed to the filed Statement of Claim
  • Active Case:  March 2023 

Expert Witness and Fact Witness for a Global Financial Services Company:

  • Prepared a Rebuttal Expert Report
  • Prepared an Expert Report
  • Prepared a Declaration
  • Active Case:  March 2023 

Fact Witness and Consulting Expert for an Investment Management Company:

  • Prepared a Declaration
  • Contributed to the filed Complaint
  • Active Case:  March 2023 

Testifying Witness for an Investment Management Company:

  • Case settled prior to FINRA Arbitration

Key Witness in the MFS Investments SEC Enforcement Action:

Firm Failed To Adequately Disclose Use of Mutual Fund Brokerage Commissions To Pay for "Shelf Space" at Brokerage Firms:

  • Deposed and offered in-person testimony at the SEC (Division of Enforcement) in Washington, D.C.

Link to SEC Order

jestella@estellallc.com


617-784-3961


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