Newsroom


Check Out this SER Member's Website: Using Video as a Communication Aid
May 24, 2019

MEMBER NEWS: Having that specialized knowledge of the rules, standards and issues is only one of the attributes that makes a testifying expert effective in front of a jury or a panel of arbitrators. Appearance, bearing, articulation, composure and confidence are additional witness qualities that register with fact-finders as they measure an expert's usefulness in understanding and evaluating the evidence in a case. Some experts are turning to video presentations on their professional websites to convey to visitors these more subjective dimensions. SER Member Charles W. Ranson uses embedded videocasts on his website as an educational tool. His Home Page offers a Profile for downloading, a CV upon request, and, under the "Issues" Menu on the HomePage NavBar, one can drill down on topics in which this expert can speak with authority -- and that's where the videos bring the text to life.  If you want to consider this feature for your website, Chuck says he'd be happy to refer SER members to the video production company he uses.


 
IN MEMORIAM: Harry Walters
May 20, 2019

OUTSIDE NEWS: As testifying experts, SER members often get to see skilled attorneys in action. If you never saw Harry Walters try an arbitration case, you missed seeing a true professional at work. If you never met Harry Walters, you missed meeting a gracious individual -- a person of honor, wit, pride, intellect, practical insight and personal courage. Tragically, Harry Walters passed away at the end of last week -- at just 60 years of age. A Managing Director at Morgan Stanley, Harry was co-head of Wealth Management Litigation, a team that represents Morgan Stanley and its employees in court and arbitrations, and before regulators. Harry started in-house with a predecessor firm in 1989 after six years in private practice. A graduate of Fordham College and Columbia Law School, Harry was a past member of FINRA's Dispute Resolution Task Force and its standing National Arbitration and Mediation Committee. He was a frequent speaker and moderator of arbitration and mediation workshops at SIFMA and at PLI, NYSBA and City Bar seminars. In March 2018, he joined the SAC Board of Editors and recently contributed to an article by his colleague, Jeremy S. Winer, that was featured in the SAC newsletter, titled: No Right to be Heard? FINRA’s Office of Dispute Resolution Says Arbitration Panels Can Deny Expungement Requests Without a Hearing.


 
SER Well-Represented on Faculty at Upcoming Hot Topics Program in NYC
May 7, 2019

MEMBER NEWS:  Moderator Roger Deitz will once again lead a faculty of speakers discussing the “Hot Topics” in securities arbitration, when the City Bar of New York hosts its annual program and networking luncheon on May 21 from 8:30 AM to 1:30 PM. The program, entitled Securities Arbitration & Mediation Hot Topics 2019, will cover some of the most challenging and controversial issues in securities dispute resolution today. Two popular characeristics of this program are the degree of audience inter-action during the program and the ability to speak with faculty members and address your individual questions at the lunch following the program.  Among the faculty this year, besides SER Member Deitz, are three other SER Members: Jill Gross (Pace Law); George Friedman (GHF Consulting); and Ross Tulman (TIA Group). Regular Fee is $369, with substantial discounts available for AAA, NFA and FINRA Neutrals.
 

 
New Additions to SER's Member Library On The Short Gamma Trading and Gamma Scalping Strategies
April 21, 2019


MEMBER NEWS - SER Member Gontran de Quillacq has authored two recent articles on the subject of gamma trading strategies, which are available through SER's Member Library. The two articles are serial in nature, the first entitled "Gamma Scalping 101 - Gamma/Theta Trading" and the second follows, as "Gamma Scalping 102 - The Undisclosed Risks." The first article describes the concepts of gamma and theta and the ways in which gamma-scalpers benefit the market and how their trading strategies operate. Risks involved in gamma-theta trading concern the second piece, after which the article concludes with some recommendations for those who trade in this area of the market. About his subject, Gontran warns: "Gamma scalping is more complicated than it looks ..." and it involves "significant risks."


 
SER Launches Quarterly Newsletter-The Expert's Examiner
April 18, 2019

ROUNDTABLE NEWS - Around now for about a quarter of a century, the Securities Experts Roundtable decided a quarterly newsletter for members would be just the thing. The brainchild of SER's Public Relations Committee, the e-newsletter began publication just this month, with six columns, each written by SER Members and each working from a different perspective to bring news and views to our testifying experts. Dubbed the "The Expert's Examiner," the quarterly publication seeks to keep members apprised of developments in securities arbitration, the expert's role in the courts, individual member achievements, SER committee work, member resources, and a "current events/issues" column. Past editions of The Examiner will be archived in SER's Library. Pdf version available here.


 
SER Member Recognized as an NACD Board Leadership Fellow
April 10, 2019

MEMBER HIGHLIGHT - SER Director and Member Carrie Wisniewski has been named as an National Association of Corporate Directors (NACD) NACD Board Leadership Fellow. NACD Fellows, who earn NACD Fellowship—The Gold Standard Director Credential®— stand within the highest echelon of those committed to excellence in the boardroom. “We are proud to announce that Carrie Wisniewski has joined NACD’s credentialed directors and has taken the next step in the pursuit of boardroom excellence,” said Peter Gleason, CEO of NACD. NACD's mission, according to its website, is to help[ ] boards strengthen investor trust and public confidence by ensuring that today's directors are well-prepared for tomorrow's challenges. “I am honored to join the distinguished and diverse group of individuals who make up the NACD Fellow community and who are committed to advancing the highest standards of boardroom excellence,” said Carrie. “The resources, insights, and connections I’ve made through NACD Fellowship will be key assets to the companies I serve, as well as to my professional growth as a director.” 


 


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