A Sample of Our Experts
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Robert N Oram
Director of Securities Industry Practice, THG Consultants

Branch management, registered representative and registered investment adviser supervision, compliance, suitability, excessive trading, excessive commissions, disclosure issues...

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Andrea J Wagner
ARC Analytics, LLC

Damages, Account Analysis, Trading Analysis, NOP, Margin, Asset Allocation, Profit and Loss.

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Douglas J. Schulz
President, Invest Securities Consulting Inc.

Unauthorized trading, Margin, Suitability, Supervision, Compliance, FINRA and SEC Regulations, Online- Internet Trading, Options, Stocks, Bonds, Mutual funds, Limited Partnerships,...

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Richard P. Ryder
President, Securities Arbitration Commentator, Inc.

arbitration law, FAA, Federal Arbitration Act, FINRA securities arbitration procedures, Securities Arbitration Award statistics, trends and quantitative analyses, arbitrator...

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Charles W. Ranson
President, Charles W. Ranson Consulting, Inc.

Trust/Fiduciary Expertise with National Banks/Trust Companies, including fiduciary responsibility, duty of loyalty, and trustee fee determination.

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Carrie Wisniewski
President, B/D Compliance Associates, Inc.

Broker/dealer compliance, supervisory systems, suitability, investment analysis, private placements, public offerings, due diligence, employment disputes, main and branch...

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Adam Margolin
Managing Partner, Structured Finance Solutions, LLC

Structured Finance, Mortgaged-Backed Securities, MBS, Commercial Mortgaged-Backed Securities, CMBS, Residential Mortgaged-Backed Securities, RMBS, Real Estate Finance, Commercial...

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Jerry DeNigris
Analyst / Expert, Riverside Financial Group, LLC

Trading Analysis, Options, Fixed Income, Mortgaged-backed Securities, Complex trading, Churning, Markup-ups, Suitability, Supervision, Stand Still Analysis, Portfolio Performance...

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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 some 90+ members from 27 states 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.