Members will be able to Login to view presentation materials at the Conference.
| Thursday — July 17, 2025 | ||
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9:00 - 11:00AM
The Bistro
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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: |
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| 9:00 - Noon 2nd Floor Foyer |
Registration Hours Members sign in and pick up their badges and welcome packets. |
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The Bistro |
Buffet Lunch Members and registered guests. Coffee Sponsored by: |
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| 1:00 - 1:45 Miles van der Rohe 2nd Floor |
Annual Membership Meeting, Elizabeth Falk, President
Welcoming Remarks; Introduction of New Members; Officers' and Committee reports, Election of President-Elect and Directors; Passing of the gavel to Incoming President, Patrick M. Dennis.
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1:45 - 2:25 |
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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| Coffee Break Sponsored by: |
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| 2:45 - 3:40 Miles van der Rohe 2nd Floor |
Elder Abuse Cases Issues in Elder Abuse cases in securities arbitration. Specific issues when providing financial services to the elderly, various definitions of “elderly” or diminished capacity, trusted contact requirements, firms ability to withhold disbursements, unhappy heirs. Moderator: Andrew Auslander, CFA, FRM, member/Agile Financial LLC Panelist(s): Ronald C. Long, Esq., Stevens & Lee Richard Szuch, Esq., Stevens & Lee
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| Break |
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Miles van der Rohe 2nd Floor |
Cryptocurrency/Digital Assets. Where are we now, and where are we going? Possible types and implications of future U.S. regulation. What is and is not a security? What types of future litigation to expect, and the likely role experts in future disputes.
Moderator: |
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| 6:00 - 7:00 The Bistro |
Cocktail Reception
Members and registered guests. Guest Speakers and local attorneys will be invited as well. Dress code: dress or pant suits for ladies/coats for men.
An opportunity to network, form new friendships and renew/burnish existing ones.
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The Bistro |
Annual Member/Guest Dinner
Members and registered guests, guest speakers and invited attorneys. Dress code: dress or pant suits for ladies/coats for men.
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| Friday — July 18, 2025 | ||
| Description | ||
The Bistro |
Buffet Breakfast Members and registered guests. Coffee Sponsored by: |
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Miles van der Rohe 2nd Floor |
What are Litigators Looking For? What experts need to know about that first meeting/interview with the litigation counsel on a prospective matter. Get hired when you're right for the role! What experts can do to build their profile. Bring your toughest questions! Moderator: Panelist(s): Gene Phillips, CEO, PF2 Securities, a Litigation Consulting Firm and Principal Consultant, Lexangle, a Management Consulting Firm (to Law Firms) |
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| Coffee Break Sponsored by: Stu Rosenthal/DamagesPro  |
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| 10:10-11:00 Miles van der Rohe 2nd Floor |
Artificial Intelligence - Fireside Chat – Okay it’s Chicago in July – AC Side Chat Moderator: John Ivan, member/Oyster Consulting Panelist(s): James G. Lundy, Esq., Foley & Lardner |
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| 11:00-11:20 | Coffee Break Sponsored by: |
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| 11:20-12:20 Miles van der Rohe 2nd Floor
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What Attorneys Look for in an Expert Witness – Claimants’/Plaintiffs’ Counsel Moderator: |
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The Bistro |
Buffet Lunch Registered members only. Coffee Sponsored by: |
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Miles van der Rohe 2nd Floor |
Expungement and U-5 Issues Moderator: |
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| Coffee Break Sponsored by: |
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| 2:30- 3:20 Miles van der Rohe 2nd Floor |
Be Prepared For Your Depositions! As more advisors move to independent RIA platforms, there has been an increase in securities cases filed in State Courts...which leads to an increase in depositions being taken of experts. Moderator: |
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| Break |
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Miles van der Rohe 2nd Floor |
Experts Roundtable
Incoming President, Patrick Dennis, hosts this informal but candid "give and take" session, a Roundtable tradition for over 30 years! Members can put a question to members are large, share an important issue that wasn't covered, or just give general feedback. |
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5:30 Meet to walk/ride to dinner
Post-Conference Dinner,
Wrap up your conference experience with dinner at ... Appetizers Sponsored by: |
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~Agenda and times subject to change and will be updated as information is provided.~
