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
Richardson 2nd Fl
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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: Paul Carroll, Sententia LLC  |
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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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Richardson 2nd Fl |
Buffet Lunch Members, Registered Guests and Guest Speakers. |
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| 1:00 - 1:45 Mies van der Rohe 2nd Floor |
Annual Membership Meeting, Patrick Dennis, President-Elect
Welcoming Remarks; Introduction of New Members; Officers' and Committee reports, Election of President-Elect and Directors.
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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: Charles W. Ranson, Charles W. Ranson Consulting Group LLC .png) |
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| 2:45 - 3:40 Mies 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 (via Zoom) Richard Szuch, Esq., Stevens & Lee (via Zoom)
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| Break |
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Mies 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 Pullman Lobby Level |
Cocktail Reception
Members, Registered Guests, Invited Guest Attorneys (RSVP required)
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: Keith Loveland, Loveland Consulting
 Cocktails Sponsored by: Collen Diles, Diles Consulting Dessert Sponsored by: Bruce Foerster, South Beach Capital
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Pullman Lobby Level |
Annual Member/Guest Dinner
Members, Registered Guests, Invited Guest Attorneys (RSVP required)
Dress code: dress or pant suits for ladies/coats for men. |
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| Friday — July 18, 2025 | ||
| Description | ||
Richardson 2nd Floor |
Buffet Breakfast Members, Registered Guests and Guest Speakers. Coffee Sponsored by: Catherine Mustico/Fundamental Compliance Consulting, LLC  |
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Mies 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! 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 Mies 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: Charles W. Ranson, Charles W. Ranson Consulting Group LLC |
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| 11:20-12:20 Mies van der Rohe 2nd Floor
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What Attorneys Look for in an Expert Witness – Claimants’/Plaintiffs’ Counsel Incoming President Patrick M. Dennis will discuss the search process and check list different attorneys use when seeking an expert. Moderator: |
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The Bistro (weather backup- Richardson 2nd Fl) |
Buffet Lunch Registered members and Guest Speakers. |
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Mies van der Rohe 2nd Floor |
Expungement and U-5 Issues Moderator: |
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| Coffee Break Sponsored by: Dr. Pavithra Kumar, Advanced Analytical Consulting Group  |
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| 2:30- 3:20 Mies 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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Mies 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 at 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, Coco Pazzo (300 W Hubbard)
Wrap up your conference experience with dinner out on the town! Coco Pazzo is one of Chicago’s finest Italian restaurants, known for its seasonal, Tuscan-inpsired dishes of handmade pastas, gnocchi and classic, well-made desserts. Appetizers Sponsored by: David Hinman, Hinman Capital Services LLC .png) |
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~Agenda and times subject to change and will be updated as information is provided.~
