2023 Annual Membership Meeting & Conference

September 22-23, 2023

Boston, Massachusetts

See the Recap

This year SER members will gather in Boston for their Annual Membership Meeting & 2023 Conference. Home to the Freedom Trail, Beacon Hill, Boston Common, Quincy Market and Faneuil Hall Marketplace, downtown Boston is full of history, attractions, shopping and dining, as well as the scenic harbor. Held over two days, the SER conference provides in-depth presentations and discussions related to experts' experiences in financial industry related dispute resolution, as well as one-on-one conversations and networking opportunities.

Overview

Location   THE OMNI PARKER HOUSE 
60 School Street, Boston, Massachusetts 02108 (see details below)
Dates Friday September 22nd - Saturday September 23rd
 
Sessions Beginning with Lunch on Friday and All Day Saturday
  • FINRA update from FINRA Dispute Resolution Services (FDRS)
  • Conversations with leading experts from the academic, legal and regulatory areas concerning Reg BI
  • Breakout sessions including report writing, testifying, and perspectives from Past Presidents
  • Presentations related to Fiduciary and Duty of Care 
Friday Night  Cocktails and seated dinner hosted at The Omni Parker House
Keynote speaker: Garry McCarthy, "Leadership Mindset Under Stress" 
Deputy Commissioner of Operations at NYPD during 911, in charge of Crime Strategy under Mayor Guiliani and Mayor Bloomberg; Director of Newark, New Jersey Police Department under Cory Booker; former Superintendent of the Chicago Police Department under Rahm Emanuel; and a former candidate for Mayor of Chicago, Mr. McCarthy is the current Chief of Police in Willow Springs, Illinois. 
After dinner events, Guided Walk outside or Group Trivia inside!

Spouse/ Guest Saturday Lunch

Hosted by Becca Graham, guests/spouses are invited to come together on Saturday for lunch while members attend conference sessions. "The Courtyard Tea Room offers a quintessential afternoon tea experience in Central Library in Copley Square. Nestled inside the historic McKim Building, the elevated service and culinary offerings are steeped in both flavor and history."


Saturday Night
 

Wrap up your conference experience with a fun night out on the town for our traditional off-site Saturday night dinner at Mamma Maria (3 North Square, 13 minute walk)
"Mamma Maria is a restaurant that gives off a level of gravitas rare this side of the Atlantic and yet somehow it is not stuffy at all."  The nationally acclaimed cuisine with a Four Diamond Award of Excellence "balances authenticity with a commitment to the guiding principle of Italian cuisine, a reliance on local markets." 

Highlights! New members/First time attendees, inquire about Friday New Member Breakfast.
Numerous networking with fellow members to enhance engagement opportunities.
Complimentary headshots on site; New SER lapel pin.
Things to Do Visit Meet Boston website for events and things to do while you're here!

Why Attend?

"The SER Conference is my favorite professional event. The opportunities to learn from and with my respected colleagues have been invaluable to my professional development and foundational to the growth of my practice.” 
Elizabeth Falk, Past President

"Attending the SER Conference is an investment in your career as an expert witness."
 Bruce Foerster, Past President

"Participating at the SER annual conference and networking among fellow members continues my dispute resolution education and adds value to services I provide engaging Attorneys."
Jack Herrmann, Former Board Member


2023 Moderators & Panelists

(click on photo for bio)

GUEST SPEAKERS

 

RICHARD W. BERRY, Esq.

Executive Vice President and Director, FINRA Dispute Resolution Services (FDRS)

JONATHAN BORCK

Vice President
Analysis Group

STEPHEN BOUCHARD, ESQ.

Associate Commissioner for Securities, District of Columbia Dept of Insurance, Securities and Banking, NASAA’s Broker-Dealer Section Committee Chair

CHRISTINE LAZARO, ESQ.

Prof of Clinical Legal Education
Director of the Securities Arbitration Clinic
St. John's University

GARRY MCCARTHY, KEYNOTE SPEAKER, 

Chief of Police in Willow Springs, Illinois

PETER J. TEPLEY, ESQ.

Partner at Rumberger Kirk, co-chair the Arbitration Panel subcommittee of the ABA Securities Litigation Section

jAMES S. WRONA, ESQ.

Vice President and Associate General Counsel at Financial Industry Regulatory Authority (FINRA)

 


MEMBER SPEAKERS
 

ALAN J. BESNOFF

Securities Expert Witness & Litigation Support, LLC
Current SER President

PAUL CARROLL

Sententia, LLC

JERRY DENIGRIS

Riverside Financial Group, LLC

MARTY DIRKS

Investment Strategy & Analysis

ELIZABETH FALK

Falk Financial Analysis
 

bruce s. foerster

South Beach Capital
 

Robert E. Graham

REG Consulting
Incoming SER President

DAVID C. HINMAN

Hinman Capital Services (HCS)

 

james a kyprios

Kyprios International Services, LLC

ROBERT D. LAWSON

Barrington Financial Consulting Group, Inc.

Richard Leisner

Trenam Law

Keith loveland

Loveland Consulting

STUART OBER

Securities Investigations Inc.

WILLIAM H. PURCELL

William H. Purcell Consulting Inc.

LORI RAINERI

Government Financial Strategies

Stuart rosenthal

Evidence Replay

JEFFERY E. SCHAFF

Ardor Fiduciary Services, Ltd.

ROSS TULMAN

TIA Group

 


Program / Agenda

See the Agenda


Sponsor / Advertise

Thank you to this year's Sponsors!

PLATINUM

GOLD

SILVER

 

Sponsorship/Advertising Opportunities

Sponsorship Level
(*all levels include your marketing material in registration bag.)
Cost
Member/Non-Member

Platinum: Sponsors acknowledged on all conference related media: registration emails;
Newsroom; newsletter; 
linkable logo on agenda/website; on location, and on LinkedIn.*

Sponsor New Member Breakfast  SOLD
Sponsor Appetizers @ Cocktail Hour on Friday
Sponsor Dessert @ Friday Dinner SOLD
Sponsor Appetizers @ Cocktail Hour on Saturday
Sponsor Dessert @ Saturday Dinner
Sponsor Reg BI panel session

$1,000 / $1,500

Gold: Sponsors acknowledged on all conference related media: registration emails;
Newsroom; newsletter; 
linkable logo on agenda/website; and on location.*

Sponsor Coffee at Friday Lunch  SOLD
Sponsor Friday Afternoon Coffee Break  SOLD
Sponsor Coffee at Saturday Breakfast SOLD
Sponsor Saturday Morning Coffee Break SOLD
Sponsor Coffee at Saturday Lunch SOLD
Sponsor WIFI on Friday  SOLD
Sponsor Audio/Visual on Friday PM SOLD
Sponsor WIFI on Saturday SOLD
Sponsor Audio/Visual on Saturday AM
Sponsor Audio/Visual on Saturday PM
Sponsor Reg BI panel session

$500 / $1,000

Silver: Sponsors acknowledged on all conference related media: registration emails;
Newsroom; newsletter; 
logo on website.*
 
$250 / $500
Other Opportunities: Sponsors acknowledged on all conference related media: registration emails;
newsroom; newsletter; 
linkable logo on agenda/website; on location, and on LinkedIn.

Table with Marketing Material
5 Minute Presentation in front of attendees @ Member Meeting SOLD


$1,250 / $2,000
$1,500 / $2,500

To purchase a sponsorship, or for additional information,
please email Patricia Koetting or call at 919-967-9040.


Conference Registration Information

 
Early Registration
by 6/30/23
Conference
& Saturday Dinner
Conference
Only
Member Only   $995   $865
Member & Spouse/Guest $1,510 $1,250

Register 7/1/23-8/31/23
(increases $100)
Conference
& Saturday Dinner
Conference
Only
Member Only  $1,095   $965
Member & Spouse/Guest $1,610 $1,350

Register after 8/31/23
(increases another $100)
Conference
& Saturday Dinner
Conference
Only
Member Only $1,195   $1,065
Member & Spouse/Guest $1,710 $1,450

 

Register Now

 
 
Member Registration $965: The registered member fee includes participation in the annual membership meeting; all conference sessions; Friday lunch, cocktail hour, and dinner; and Saturday breakfast and lunch.

Spouse/Guest Registration $385: The spouse/guest registration fee includes Friday lunch, cocktail hour, dinner; Saturday breakfast. The fee does not include conference materials, attendance at any scheduled meetings or breaks or Saturday lunch. 

Spouse/Guest Lunch (Saturday): A Saturday event for spouse/guests to participate while members are in the conference sessions. "The Courtyard Tea Room offers a quintessential afternoon tea experience in Central Library in Copley Square. Nestled inside the historic McKim Building, the elevated service and culinary offerings are steeped in both flavor and history."
 
Saturday Dinner $130 add-on: Members are highly encouraged to stay for dinner and drinks out on the town at a local venue to wrap up our time together. Mamma Maria (3 North Square, 13 minute walk) "Mamma Maria is a restaurant that gives off a level of gravitas rare this side of the Atlantic and yet somehow it is not stuffy at all."  The nationally acclaimed cuisine with a Four Diamond Award of Excellence "balances authenticity with a commitment to the guiding principle of Italian cuisine, a reliance on local markets." 
 
Non-Member Expert (Invitation Only) $1,065: Potential members can request an invitation to attend the conference for $100 premium. If the potential member joins SER after the conference, the $100 premium will be applied to the current year membership.
 
Registration Deadline: Early registration deadline is JUNE 30, 2023. (see dates and price increases above).

Meeting Refund/Cancelation Policy: Cancelations received in writing on or before August 24, 2023, will receive a full refund less a $100 per person processing fee. No refunds will be issued for cancellations received after August 24, 2023If SER cancels the conference for any reason at anytime, SER members who have paid the registration fee will receive a 100% refund.

Please note: Hotel/Lodging Reservations are a seprate reservation from your conference registration. (CONFERENCE REGISTRATION IS REQUIRED PRIOR TO MAKING OVERNIGHT RESERVATIONS) Please see Lodging section
 
SER reserves the right to deny admission to any session to any individual for any reason.

Conference Venue & Lodging

The Omni Parker House

60 School Street, Boston, Massachusetts 02108

"A legendary symbol in downtown Boston since 1855, Omni Parker House boasts old-world charm and elegance accompanied by all of the modern conveniences of a world-class establishment. You’ll find unbeatable amenities on-site including an award-winning restaurant and home to the famous Boston Cream Pie, a fully equipped fitness center and 23,000 sq ft of meeting space."

THERE ARE A LIMITED NUMBER OF ROOMS BLOCKED FOR THE CONFERENCE, AVAILABLE ON A FIRST COME, FIRST SERVED BASIS. YOU MUST FIRST REGISTER AS AN ATTENDEE AT THE CONFERENCE. HOTEL RESERVATIONS WITHOUT A CONFERENCE REGISTRATION WILL NOT BE HELD.

OVERNIGHT RESERVATION PROCESS: To reserve a room at the above hotel.  Upon conference registration, you will be redirected to the Omni reservation link to make your reservation. If you have already registered for the conference and do not have an overnight room, you can use this reservation link.
Hotel accommodations are a separate reservation from your conference registration.
(If you have any problems, please contact Patti Koetting at controller@securitiesexpert.org or 919-967-9040.)

RATES: Single/Double Deluxe Room $309 + taxes (state, local and occupancy taxes are currently 16.45%) 

HOTEL CUTOFF DATE: A limited number of rooms have been blocked and availability is offered on a first come, first served basis. The cut-off date for accepting reservations into this room block is THURSDAY, AUGUST 24, 2023. Reservation requests received after 5:00 PM local time at the Hotel on the cut-off date will be accepted based on guest room availability at the prevailing transient rates.

HOTEL CANCELLATION/EARLY DEPARTURE POLICY: Should you need to make changes or cancel your overnight room reservation, please contact the hotel at least 72 hours prior to the check-in time to avoid no-show fee OR an early departure fee. 
 
 
HOTEL CHECK-IN/CHECK-OUT: Check-in time is 4:00 pm; check-out time is 11:00 am. All guests arriving before 4:00 pm will be accommodated as rooms become available. Our Guest Service staff can arrange to check baggage for those arriving early when rooms are unavailable and for guests attending functions on departure day.
 
TRANSPORTATION AND PARKING
 
FOR ADDITIONAL INFORMATION AND AMENITIES, PLEASE VISIT THE OMNI PARKER HOUSE WEBSITE.