Securities Experts Roundtable 2023 Annual Conference

2023 Annual Membership Meeting & Conference

Program / Agenda

Members will be able to Login to view presentation materials at the Conference.

Friday — September 22, 2023
Time (Eastern)	Description
9:00 - 11:00 The Last Hurrah, Lobby level	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. Invitations will go out after registration.)* Sponsored by: Paul Carroll, Sententia LLC
9:00 - Noon *Kennedy Room, Lobby level*	Registration Hours Members sign in and pick up their badges and welcome packets.
Noon - 1:00 *Parker's Bar, Lobby level*	Buffet Lunch Members and registered guests. Coffee Sponsored by: Bob Lawson, Barrington Financial Consulting Group
1:00 - 1:45 *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.
1:45 - 2:05	Break Today's Wifi Sponsored by: Patricia Koetting, PKoetting & Associates
2:05 - 3:00 *Kennedy Room, Lobby level*	Current Opportunities Related to Fiduciary & ERISA Issues This panel will explore the opportunity for experts as a result of the fiduciary and fiduciary-like rules. Moderator: Stuart Ober, member/Securities Investigations Inc. Panelist(s): Alan Besnoff, member/Securities Expert Witness & Litigation Support LLC Jeffery Schaff, member/Ardor Fiduciary Services. Ltd. Ross Tulman, member/TIA Group
3:00 - 3:20	Coffee Break Sponsored by: Alan Besnoff, Securities Expert Witness & Litigation Support
3:20 - 4:20 *Kennedy Room, Lobby level*	Reg BI: Business As Usual, or Meaningful Change? Reg BI became effective 1,179 days 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. Moderator: 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 FINRA
4:20 - 4:40	Break
4:40 - 5:30 *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: Jack Herrmann, member/Herrmann Dispute Resolution Services, LLC Panelist(s): tbd. Jerry DeNigris, member/Riverside Financial Group, LLC Geraldine GG Genco Dube, member/Geraldine A. Genco Consulting David Tilkin, member/Tilkin Group
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:*
7:00 - 9:30 *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:* After Dinner Events: Guided Walk or Inside Trivia!
Saturday — September 23, 2023
Time (Eastern)	Description
8:00- 9:00 *Parker's Bar, Lobby level*	Buffet Breakfast Members and registered guests. *Coffee Sponsored by:*
9:00- 9:45 *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.
9:45-10:05	Break
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? Do you anticipate changing macro dynamics (Higher inflation, interest rates, etc.) and company events (Crypto bankruptcies and banking failures) to result in widespread litigation? If so, of what nature? Moderator: David C. Hinman, member/Hinman Capital Services Panelist(s): Jim Reilly, member/PNA Consulting , LLC Stuart Rosenthal, member/Evidence in Motion
11:00-11:20	Coffee Break *Sponsored by: Elizabeth Falk, Falk Financial Analysis*
11:20-12:15 Brandies Room, Mezzanine level Holmes Room, Mezzanine level Lowell Room, Mezzanine level	Roundtable Workshops/Breakout Sessions 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.) Preparing for Deposition or Cross Examination Bob Lawson, member/Barrington Financial Consulting Group Writing an Effective Expert Report James Kyprios, member/Kyprios International Services and Bill Purcell, member/William H. Purcell Consulting Inc. Past President's Perspective: Paul Carroll, member/Sententia LLC Past Presidents discuss their experiences building a practice and where are the opportunities going forward.
12:15- 1:15 *Parker's Bar, Lobby level*	Buffet Lunch Registered members only. *Coffee Sponsored by:*
1:15- 2:00 *Kennedy Room, Lobby level*	Networking
2:00- 2:20	Break
2:20- 3:15 Brandies Room, Mezzanine level Holmes Room, Mezzanine level Lowell Room, Mezzanine level	Roundtable Workshops/Breakout Sessions 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.) Preparing for Deposition or Cross Examination Bill Purcell, member/William H. Purcell Consulting Inc. and James Kyprios, member/Kyprios International Services Writing an Effective Expert Report Ross S. Delston , member/Law Office of Ross Delston Past President's Perspective: David Keogh, member/DJK Consulting Past Presidents discuss their experiences building a practice and where are the opportunities going forward.
3:15- 3:35	Coffee Break *Sponsored by:*
3:35- 4:30 *Kennedy Room, Lobby level*	Experts Roundtable/Open Mic. Incoming President, Robert (Bob) Graham, hosts this informal but candid "give and take" session.
6:00- 8:30	Post-Conference add-on Dinner, tbd Wrap up your conference experience with dinner out on the town with colleagues. *Appetizers Sponsored by:* *Coffee & Dessert Sponsored by:*

~Agenda and times subject to change and will be updated as information is provided.~