ROUNDTABLE NEWS - The next issue of The Expert's Examiner is now available. The newsletter, published quarterly by SER, contains recent news and cases in the securities dispute resolution sector as well as updates on members and the Securities Experts Roundtable. Members are encouraged to forward the publication to their contacts. Non-members are welcome to subscribe here! The current and past issues are also available on the Newletter tab.
ROUNDTABLE NEWS - SER presented its latest webcast on February 25th, titled "Securities Experts, Mediation and Attorneys." The one-hour session featured expert mediator Mike Gregory of Michael Gregory Consulting, LLC. Mike shared his insight on what an attorney looks for in an expert and how the expert can be highly effective and powerful in helping to resolve issues if properly prepared. Based on his experience in over 2,500 mediations and negotiations, Mike focused on the expert's role to help diffuse tension, address unrealistic expectations, and clear up key points that may be misunderstood by clients, the mediators, or attorneys. The session was well attended and received positive feedback. Members have access to the recording in the password protected Library. SER pivoted early in the pandemic and began producing a series of webcasts for members in May of 2020.
ROUNDTABLE NEWS - The newest issue of The Expert's Examiner was published this month. Contributing editor George Friedman, along with committee members Jerry DeNigris, GG Genco, Hollie Mason and Patricia Koetting, report on the latest news to come out of the dispute resolution community. The current issue, as well as past issues, can be accessed on the Newsletter tab of our website. SER members are encouraged to forward a link to the newsletter to any interested parties. Non-members are welcome subscribe and receive upcoming issues directly to their inbox. Currently beginning its third year of publication, the committee decided to publish quarterly issues in 2021. The next issue is due out in early April. Please contact any member of the Public Relations Committee if you have any comments or articles of interest for the next issue.
MEMBER HIGHLIGHT – SER member Gordon Yale, the principal of Yale Forensics, assisted and was quoted in the recent Washington Post investigation of a California nursing home operator. The story “Profit and pain: How California’s largest nursing home chain amassed millions as scrutiny mounted” detailed the numerous regulatory problems of Brius Heathcare while its owner paid his wife and himself distributions of $28 million in 2013, the last year which tax returns were available. Click here to read the article. Mr. Yale, a former investigative reporter prior to becoming a CPA, has provided financial and accounting expertise to a number of publications during his long career including the New York Times, Bloomberg Magazine, the Post and other publications. He has also published articles detailing abusive generally accepted accounting principles.
ROUNDTABLE NEWS - SER held its inaugural "New Member Virtual Coffee" on December 17th. The zoom meeting, hosted by President Elizabeth Falk and Membership Chair Alan Besnoff, was attended by a dozen new SER members as well as several longer-term members. Mr. Besnoff moderated attendees as they introduced themselves and highlighted their particular expertise. Long term members shared their perspective on the SER benefits they value most. Ms. Falk closed with her personal experience breaking into the experting arena. SER plans to make the "virtual coffee" a regular event in order to facilate connecting newer and older members. According to controller Patricia Koetting, "By far one of the highest regarded benefits of SER membership is the relationships gained among colleagues." To inquire about membership, or to nominate an expert for membership, please contact Membership Chair Alan Besnoff. To apply for membership, click here.
ROUNDTABLE NEWS - SER announced its next webcast titled "Perspectives on Testimony - Points to Ponder", to be broadcast on November 17th. The panel will be moderated by President-Elect Paul Carroll, and will include SER members Richard Leisner, Keith Loveland and David Tilkin. Speakers with discuss testimonial challenges and skill sets, sharing tips and best practices from lessons learned on how to refine expert testimony. Representing over 75 years of expert witness experience, the panel will cover the gamut of forums including Federal and State courts and arbitrations in AAA, FINRA and JAMS. This will be the sixth webinar produced by the SER's Webcast Committee, established earlier this year in response to the COVID pandemic, to keep members engaged and tuned in to the expert witness community.
MEMBER HIGHLIGHT - SER member David J. Keogh, President of DJK Consulting LLC, was a guest lecturer at the University of Miami School of Law. On September 23rd, Mr. Keogh spoke to law students enrolled in the law school’s Broker-Dealer Regulation course, and student interns enrolled in the Investor Rights Clinic. Clinic Director and Lecturer, Teresa J. Verges, moderated the discussion with Mr. Keogh, who provided students with the background and overview of broker-dealers’ compliance and supervisory obligations under SEC regulations and FINRA rules. Drawing upon his wealth of experience in the securities industry, Mr. Keogh provided students with insights into the financial industry and the critical role of compliance. SER encourages member pro bono participation in Securities Arbitration Clinics through teaching, consulting, and expert testimonial services. (If you would to participate, please complete the member interest survey if you have not done so already.)
MEMBER HIGHLIGHT - Alan J. Besnoff, CFP, ChFC, CLU is pleased to have recently been appointed by the CFP Board of Standards to serve as Commissioner on the Disciplinary and Ethics Commission. The Disciplinary and Ethics Commission is charged with reviewing and taking appropriate action with respect to alleged violations of the Code of Ethics and Standards of Conduct and conduct reviewed pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement. Mr. Besnoff, along with fellow commissioners, will conduct hearings and settlement reviews on cases of alleged violations of the CFP Code of Ethics and Standards of Conduct. His term as Disciplinary and Ethics Commissioner is August 2020 through December 2021.
MEMBER HIGHLIGHT - SER member George Friedman, recently sat down for a virtual interview as part of a podcast series, "The Arbitration Conversation: Interviews the Leading Minds in Arbitration." In the interview, hosted by Professor Amy Schmitz of the University of Missouri School of Law and the Center for Dispute Resolution, Mr. Friedman discusses: how he entered the ADR field and built his career; the major differences between the AAA and FINRA Dispute Resolution Services; and COVID-induced changes he'd like to see persist when things get back to normal. Mr. Friedman was Executive VP of FINRA's Dispute Resolution forum until 2013, when he started George H. Friedman Consulting, LLC, to provide expert advice on arbitration and mediation in general and the FINRA dispute resolution forum in particular. As reported in our recent issue of The Expert's Examiner, he became publisher of the Securities Arbitration Alert ("SAA") in August 2020, and has recently merged the major elements of the Securities Arbitration Commentator ("SAC"), a 30-plus year publication, into the weekly online publication. You can find the interview on SAA's blog here.
ROUNDTABLE NEWS - SER's latest webinar, "Best Practice Tips & Techniques to Manage and Grow Your Expert Business", was broadcast on September 24th. The live one-hour session, for members only, showcased a panel of experienced Experts as they shared some of their “Best of the Best” practice management tips and techniques for running a successful practice. Moderated by SER's Mentorship & Practice Management Chair Bob Lawson, the panel included distinguished members Alan Besnoff (Membership Chair), Paul Carroll (President Elect) and Jack Herrmann (Treasurer/FinCom Chair). Panelists discussed the broader perspective of building and diversifying your business, to the details of billing, retainers and communication. Post-webcast survey responses were highly complimentary! Members who missed the live broadcast, can access the recording in the Library section of SER's website once they are logged in.
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