A Sample of Our Experts
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Theodore E. Affleck, CLU
Principal, Theodore E. Affleck, CLU & Associates, LLC

Variable and Fixed life insurance products (sales practices, illustrations, policy performance, replacements, disclosures, design features, internal costs, in-force policy analysis)

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Mason Alan Dinehart III
Owner and founder, FEND - Financial Education Network Development

Mr. Dinehart is a FINRA Arbitrator and expert with nearly 4 decades of industry experience, including a branch manager for 3  firms. He has testified in over 300 arbitrations...

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Cynthia L King
C L King & Associates, LLC

Suitability, Supervision, Manipulation, Churning, Underwriting and disclosure issues, Securities registration issues, Fraud and misrepresentations, Duties of a broker, Duties...

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Alan J. Besnoff, CFP, ChFC, CLU
Owner/Consultant, Securities Expert Witness & Litigation Support,LLC

Suitability, Churning, Supervision, Fiduciary duty, Asset allocation, Unauthorized trading, Over concentration, Misrepresentation, Mutual funds, Financial Planning, ...

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David Tilkin
President, Tilkin Group

David has significant experience as a testifying expert witness and has testified at FINRA, JAMS, AAA and SEC proceedings. David has represented both firms and investors....

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Bruce S. Foerster
President, South Beach Capital Markets

I. Investment Banking1. Underwritten public offerings: solicitation; due diligence, transparency & disclosure; commitment committee, new issue marketing & suitability committee...

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Larry Kimmel
Compliance Consultant, Thornapple Associates Inc

Compliance experience in both equities and fixed income securities. Brokerage, investment advisory, hedge funds, AML, Operations.

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Jeffery E. Schaff
Ardor Fiduciary Services, Ltd.

Brokerage sales and supervision Investment fiduciary duties of Investment advisors and trustees Analysis of complex investments and strategies

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Who We Are


The Securities Experts Roundtable ("SER") is a group of professionals with significant experience as testifying and consulting experts in securities, business and investment-related litigation. SER traces its founding to a 1993 gathering of a small group of expert witnesses who knew and enjoyed each other's company and found benefit sharing experiences and expertise. Founder members literally held early meetings seated at a large round table in the hotel where they gathered.

Today, SER has members all across the country and conducts its business exempt from federal income tax under Section 501(c) (6) of the Internal Revenue Code. Our members have impressive academic credentials and career accomplishments in accounting; asset and wealth management; business leadership and corporate governance; corporate finance and investment banking; the law; securities sales; trading and research and academe. Members, acting individually and not under the SER umbrella, provide expert witness services such as production of formal expert reports; testimonial work in federal and state courts, arbitration and mediation (AAA, FINRA, JAMS etc.) and SEC proceedings and in non-testimonial consultation.

Our two-day annual membership meeting, traditionally held in August, offers a series of professional education programs with prominent outside speakers and events offering camaraderie and networking opportunities - all in very pleasant surroundings.

To find an expert that fits your needs, use our "Find an Expert" search page. Use the contact information provided in each member's profile to contact that member directly.  Our securities experts include expertise in supervision, suitability, margin, damages, options and portfolio analysis. 

SER encourages the pro bono participation of our members in Legal Clinics, several of which are affiliated with law schools, by teaching, consulting, and providing expert testimonial services.

In addition, we support and improve the process of securities dispute resolution through participation in conferences, committees, and meetings of other organizations involved in the process of securities dispute resolution.

Select the link to see SER's position on:

 


The Securities Experts' Roundtable provides a password protected directory on this website for each member who wishes to provide contact information and a business profile. Individual SER members are responsible for all information contained on their personal profile. Some members have chosen to provide links to websites not maintained by SER. SER does not endorse any web sites, their sponsors, or any of the policies, activities, products, or services offered on the site or by any advertiser on the site.

Securities Experts' Roundtable, Inc. is a Professional Business League 501(c)6 non-profit corporation.

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