MEMBER HIGHLIGHT - SER member Jim Kyprios submitted an article to the SER Library on his methodology for evaluating extensions of credit. The idea came as a result of the recent expansion in the interpretation of the Federal Rules of Evidence 702, giving a judge not only the discretion to decide whether an expert is qualified, but also to decide whether the methodology used is acceptable. In writing down the methodology, Jim feels the expert can be more prepared to answer the question fully and succinctly. Jim gives a special thanks to SER member Bill Purcell and Gerry Goldhaber, founder and head of the New York Regional Expert Witness Association, for their encouragement and assistance in this project. The article is attached here and is in the SER Library.
MEMBER HIGHLIGHT - SER member Bob Lawson will be speaking at SEAK's annual conference in Clearwater, FL on April 28th. The session, "How to Market and Expand Your Expert Witness Practice: What Works", will cover branding and business development including making yourself more attractive to law firms and government agencies, focusing your area(s) of expertise, building an effective website, search engine optimization, getting help/leveraging yourself, lead mining on legal databases, white papers, video clips, direct outreach, a comprehensive internet strategy, and speaking. Bob is a current Board Member and Chair of the Practice Management Committee. He is President and Chief Compliance Officer of Barrington Capital Management, Inc. and also serves as President and Managing Principal of Barrington Financial Consulting Group, Inc. SEAK is an ACCME accredited continuing education, consulting and business development firm that trains expert witnesses of all specialties and areas of expertise.
MEMBER HIGHLIGHT - SER member Catherine Mustico has taken and passed a new AML certification, now holding the Advanced CAMS-Financial Crimes Investigations (CAMS-FCI) Certification. According to ACAMS (Association of Certified Anti-Money Laundering Specialists), the accreditation is "a leading certification for anti-financial crime (AFC) investigators" and "equips professionals with the knowledge to conduct complex financial crimes investigations that involve multifaceted money laundering schemes and advanced typologies." Ms. Mustico adds this credential to her currently held CAMS certificate and the CFE (Certified Fraud Examiner). A former Associate Principal Examiner with the FINRA District Offices in DC and New York, she is retained as an expert witness and compliance consultant for disputes involving FINRA Broker-Dealers, Investment Advisers, Banking, and sub-specializes in securities fraud, financial crime, and Anti-Money Laundering.
MEMBER HIGHLIGHT - SER Members Bruce Foerster and Charles Bennett, together with Jeffrey Posner, are authors of the Capital Markets Handbook, published by Wolters Kluwer. The Handbook is a primer on the mechanics and conduct of the entire underwritten public offering process. Bruce conceived the Handbook in 1999 and it has been in publication ever since, the first 10 years of which, under the auspices of the Securities Industry Association (n/k/a SIFMA). The 2024 Supplement to the Seventh Edition was released January 2, 2024. The Handbook is available online from Wolters Kluwer.
MEMBER HIGHLIGHT - Alan J. Besnoff, CFP, ChFC, CLU was a Speaker and Panelist on the topic of: “CFP Standards; Case Implications When Respondent is a CFP Professional” at the October, 2023 PIABA Annual Meeting and Securities Law Seminar. Mr. Besnoff addressed what distinguishes CFP Professionals from other Financial Advisors, the CFP Board’s Code of Ethics and Standards of Conduct, and explained what duties are defined by the CFP Board Standards, and when those duties are required. Mr. Besnoff also described the process by which the CFP Board enforces its Code and Standards, and explained how allegations of misconduct (violations of the Code of Ethics and Standards) are heard by Hearing Panels consisting of Commissioners who serve on the Disciplinary and Ethics Commission. Alan Besnoff is currently serving as Commissioner, Disciplinary and Ethics Commission, Certified Financial Planner (CFP) Board of Standards.
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ROUNDTABLE NEWS - For the first time ever, SER broadcast a conference session live to the public via Zoom at our Annual Conference in Boston this past September. We are pleased that close to 100 attendees registered for remote access, mainly securities attorneys, while SER members in attendance experienced the live version. A huge thank you is extended to SER member Jeffery Schaff for moderating and to our esteemed panel, Christine Lazaro, Stephen Bouchard, Peter Tepley and James Wrona, for sharing their in-depth knowledge on the current status and future expectations of Reg BI. If you missed it, you can access speaker materials and the recording below.
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