A Sample of Our Experts
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Frank A Sullivan
Litigation Services

Suitability, Supervision, Employment Disputes, Senior Citizen Finra 2080 Rule Diminished Capacity and Mismanagement. 1031 Exchanges, Expungement,...

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Thomas Taliaferro

Breach of Fiduciary Duty; Suitability; Failure to Supervise; FINRA; Unauthorized Trading; Selling Away; Modern Portfolio Theory; Asset Allocation;...

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Robert Henry
Robert Henry

Options, Trading, Margin, Damages, Equities & Indices, Prime Broker, Suitability, Industry Practices, ETFs, Clearance, Broker Dealer Operations

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Ross Tulman
TIA Group

Broker Dealer cases - liability and damage issues;Investment Advisor cases - liability and damage issues;Private Wealth Management cases - liability...

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Jill Gross
Professor of Law, Elisabeth Haub School of Law, Pace University

Broker-dealers' duties to customers; FINRA Code of Arbitration Procedure; Arbitration Law; Arbitration Process; Legal standards; FINRA Enforcement

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Gregory Clark
Principal, Municipal Credit Consultants LLC

Municipal Bond Credit Analysis, Municipal Bond Disclosure

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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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Dr Thomas Walford
Chief Executive and Chairman, Expert Evidence International Limited

Banking, Private Banking, Wealth Management, Investment, Securities, Brokerage, Regulation, Funds (Mutual Funds, Unit Trusts, and Investment...

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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 2020-Vol 2
VOL 2020-Vol 1
VOL 2019-Q4
VOL 2019-Q3
VOL 2019-Q2
VOL 2019-Q1

 

Who We Are

The Securities Experts Roundtable (SER) is a group of experienced finance and investment professionals engaged in all aspects of dispute resolution involving securities, investment-related matters and securities industry employment disputes. SER members serve as neutral arbitrators and mediators, and as consultants and testifying experts. SER Members seek to provide clarity and perspective to assist parties in direct negotiations and mediation, and appear in federal and state courts, before FINRA, AAA and JAMS arbitration hearings, before the SEC and state securities regulators. Members provide services individually and not under SER's umbrella. 

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 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. Since 2019, SER publishes a periodic newsletter, The Expert's Examiner, that covers items of interest in the industry as well as within the organization. (Past issues can be accessed above and non-members may subscribe to upcoming issues here.) In 2020, SER began broadcasting a series of live and recorded webcasts covering current issues, presented by members and outside speakers. Webcasts are a member-only benefit.

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:

 


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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