Members will be able to Login to view presentation materials at the Conference.
| Friday — September 22, 2023 | ||
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9:00 - 11:00
Parker's Bar, Lobby level
(updated location) |
New Member/First Time Attendee Breakfast & Discussion
New members and first-time attendees are invited to join Board members for a casual meet and greet breakfast to learn more about SER and how to maximize the benefits and resources of membership. (RSVPs required.) Sponsored by: Paul Carroll, Sententia LLC  |
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| 9:00 - Noon Kennedy Room, Lobby level |
Registration Hours Members sign in and pick up their badges and welcome packets. |
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Parker's Bar, Lobby level |
Buffet Lunch Members and registered guests. Coffee Sponsored by: Bob Lawson, Barrington Financial Consulting Group  |
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Kennedy Room, Lobby level |
Annual Membership Meeting, Alan Besnoff, President
Welcoming Remarks; Introduction of New Members; Officers' reports, Election of President-Elect and Directors; SER Resources Review; Passing of the gavel to Incoming President, Robert Graham.
Sponsored by: Stu Rosenthal, Evidence Replay
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| 1:45 - 2:05 | Break Today's Wifi Sponsored by: Patricia Koetting, PKoetting & Associates
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| 2:05 - 3:00 Kennedy Room, Lobby level |
Current Opportunities Related to Fiduciary & ERISA Issues This panel will explore the opportunities for experts in fiduciary and ERISA issues. Moderator: Stuart Ober, member/Securities Investigations Inc. Panelist(s): Keith Loveland, member/Loveland Consulting Jeffery Schaff, member/Ardor Fiduciary Services. Ltd. Ross Tulman, member/TIA Group |
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| Coffee Break Sponsored by: Alan Besnoff, Securities Expert Witness & Litigation Support  |
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Kennedy Room, Lobby level |
Reg BI: Business As Usual, or Meaningful Change?
Reg BI became effective over three years ago, but did it make a difference? Leading authorities and regulators discuss their views as to how well the securities industry has implemented Reg BI and share their expectations for future developments.
(This session will be broadcast live via Zoom. Click here for more information and to register.) Jeffery Schaff, member/Ardor Fiduciary Services. Ltd. Panelist(s): Christine Lazaro, Esq., Director of the Securities Arbitration Legal Clinic, St. John’s Law School and Past PIABA President; Stephen Bouchard, Esq., Associate Commissioner for Securities, District of Columbia Department of Insurance, Securities and Banking, NASAA’s Broker-Dealer Section Committee Chair
Peter Tepley, Esq., Defense Counsel, 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 FINRASponsored in part by: Jerry DeNigris, Riverside Financial Group; Alan Besnoff, Securities Expert Witness & Litigation Support, LLC  |
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| Break Today's AV Sponsored by: Elizabeth Falk, Falk Financial Analysis  |
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Kennedy Room, Lobby level |
Testimonials of a Challenging Case Three (3) experienced SER members each will share an especially valuable experience from an actual case. The Panelist may have been surprised; or able to turn around a case that was going badly; or learned a valuable lesson from the engagement that made them more valuable to engaging Counsel. Moderator: Jerry DeNigris, member/Riverside Financial Group, LLC Panelist(s): Elizabeth Falk, member/Falk Financial Analysis Lori Raineri, member/Government Financial Strategies |
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| 6:15 - 7:00 King Room, Mezzanine level |
Cocktail Reception
Members and registered guests. Dress code: dress or pant suits for ladies/coats for men.
An opportunity to network, form new friendships and renew/burnish existing ones.
Appetizers Sponsored by:
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King Room, Mezzanine level |
Annual Member/Guest Dinner
Members and registered guests, invited attorneys. Dress code: dress or pant suits for ladies/coats for men.
Keynote speaker: Garry McCarthy, Chief of Police in Willow Springs; Illinois. 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; Superintendent of the Chicago Police Department under Rahm Emanuel; and a former candidate for Mayor of Chicago, Mr. McCarthy will share his experiences leading under stressful situations. Coffee & Dessert Sponsored by: Charles W. Ranson Consulting, Inc.
.png) After Dinner Events: Guided Walk or Inside Trivia! |
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| Saturday — September 23, 2023 | ||
| Description | ||
Parker's Bar, Lobby level |
Buffet Breakfast Members and registered guests. Coffee Sponsored by: Catherine Mustico, Fundamental Compliance Consulting  |
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Kennedy Room, Lobby level |
FINRA Dispute Resolution Update Richard W. Berry, Esq., Executive Vice President and Director of FINRA Dispute Resolution Services (FDRS). A yearly tradition, where Rick updates members on trends in FINRA arbitration, new procedures, types of cases filed, award results. |
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| Break Today's Wifi Sponsored by: Bob Lawson, Barrington Financial Consulting Group |
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| 10:05-11:00 Kennedy Room, Lobby level |
The Current Financial Landscape and Future Case Trends Panelists in this session will address: What are some notable current and/or likely future securities litigation trends? How might the role or the knowledge of a financial expert need to adapt to best address these trends? Will changing macroeconomic dynamics (persistent inflation, higher interest rates, etc.) and disruptive company events (crypto bankruptcies and recent US and European banking failures) result in widespread litigation? If so, of what nature? Moderator: David C. Hinman, member/Hinman Capital Services Panelist(s): Jonathan Borck, Vice President/Analysis Group Marty Dirks, member/Investment Strategy & Analysis Stuart Rosenthal, member/Evidence Replay |
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| 11:00-11:20 | Coffee Break Sponsored by: Elizabeth Falk, Falk Financial Analysis .png) |
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11:20-12:15 Holmes Room, Mezzanine level |
Roundtable Workshops/Session I: Hands on workshops limited to 10-12 members per session. These sessions will refresh what we know, enlighten when we don’t know and build relationships through a more intimate setting conducive to networking. (Members pick one of three to attend.)
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Parker's Bar, Lobby level |
Buffet Lunch Registered members only. Coffee Sponsored by: Colleen Diles, Diles Consulting  |
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Kennedy Room, Lobby level |
Networking
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| Break |
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| 2:20- 3:15 Brandies Room, Mezzanine level Holmes Room, Mezzanine level Lowell Room, Mezzanine level |
Roundtable Workshops/Session II: Hands on workshops limited to 10-12 members per session. These sessions will refresh what we know, enlighten when we don’t know and build relationships through a more intimate setting conducive to networking. (Members pick one of three to attend.)
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| Coffee Break Sponsored by: |
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Kennedy Room, Lobby level |
Experts Roundtable/Open Mic.
Incoming President, Robert (Bob) Graham, hosts this informal but candid "give and take" session. |
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Post-Conference add-on Dinner, Mamma Maria (3 North Square, 13-minute walk)
Wrap up your conference experience with dinner out on the town with colleagues. "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." Appetizers Sponsored by: Coffee & Dessert Sponsored by: |
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~Agenda and times subject to change and will be updated as information is provided.~
