A Sample of Our Experts
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James L. Rothenberg
Sole Practitioner, Law Office of James L. Rothenberg .

Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities Laws, Mutual Funds, Investment...

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Greg B Wood
Securities Expert Witness, Securities Litigation Support, LLC

Broker-Dealer Issues including: Unauthorized trading, Margin, Suitability (Know Your Customer), Supervision and Branch Management, Compliance,...

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Gontran de Quillacq
Managing Partner, Navesink International

Quantitative investments and derivatives, of which: - vanilla derivatives: calls, puts, swaps, ETFs, stock lending... - structured products,...

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Ann M Grady
President-Owner, Pyrenees Compliance llc

FINRA & SEC Rules & Regulations Broker-Dealer Registration Requirements Fiduciary Standard for Broker-Dealers & Investment Advisors BD Main Office,...

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Ronald E Heakins AIFAŽ, CRCP
President, R E Heakins Expert Services, Inc.

churning, unauthorized trading, suitability, risk analysis, supervision, variable annuities, margin, options, modeling portfolios for damages,...

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Hugh Cohen
Applied Financial Research LLC

Analytics Bonds CDOs CMOs Commodities Convertible investments Damages Hedging Financial Analysis Financial Indices Foreign Exchange Forward and...

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

Experience in managing all aspects of personal and institutional trust services with OCC supervised institutions. Highly focused on claims of...

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Damiano Colnago
Managing Partner, SEDA Experts, LLC

Structured Finance, CDOs, CLOs, Collateral Administration, Trustee and Custody services, Derivatives, Banking operations, damage analysis, fixed...

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MISSION STATEMENT

 

SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.

 

The Expert's Examiner (SER's Newsletter)

VOL 2019-Q4
VOL 2019-Q3

VOL 2019-Q2
VOL 2019-Q1

History

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 began as a 1992 gathering of eight experts who knew each other and found sharing their experiences and expertise beneficial.  Early meetings set the stage for our annual member conference.  Today SER conducts its business exempt from federal income tax under Section 501(c) (6) of the Internal Revenue Code.

Membership

Members span the United States and have solid academic credentials and career accomplishments in accounting; asset/wealth management; business leadership and corporate governance; investment banking; corporate finance and capital markets; securities law; securities sales, trading and research and academe.

SER encourages its members to adopt SER Best Practices of ethics and integrity, and its motto - "Seek and Speak the Truth" - is our behavioral touchstone. An annual summer member conference, a dedicated web site and ongoing member networking are the primary tools SER employs to maintain its premier position in the expert witness field.

Activities

SER's two-day annual summer member conference (also open to engaging attorneys) presents professional education programs with prominent outside speakers and evening social events offering camaraderie and networking opportunities.

Members provide services individually and not under SER's umbrella. Their services include expert testimonial work in federal and state courts, arbitration and mediation forums (e.g., AAA, FINRA and JAMS) and SEC proceedings; production of formal expert reports and non-testimonial expert consulting.

SER encourages member pro bono participation in Securities Arbitration Clinics (several of which have a law school affiliation) through teaching, consulting, and expert testimonial services. Members also support the securities dispute resolution process by attending relevant conferences and meetings and by serving on relevant committees of organizations involved in securities dispute resolution.

Leadership

SER has a demonstrated history of leadership in securities arbitration. In 2004 a founding member co-authored work on sequestration of experts at hearings which led to revision of the opening script. Over the years, SER identifies instances in which they can collectively improve the securities dispute resolution process. See links here:

Use the profile details on our "Find an Expert" search page to contact a member directly.

 


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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