SERís 2nd Webcast Discusses Basic Considerations for Zoom Testimony
June 29, 2020

ROUNDTABLE NEWS - SER hosted its second webcast, Zoom Testimony-The Basics, on June 25th. Moderated by Elizabeth Falk, SER's President-Elect, the webcast featured Karinya Verghese, FINRA's Associate Regional Director of Dispute Resolution Services (West Region). Ms. Verghese, who has been instrumental in setting up the Zoom hearing procedures, walked attendees through the nuts and bolts of the process, including a Q&A session. The webcast also included tips on audio/visual setup and equipment, as well as a brief Zoom tutorial. The webcast was preceded with a survey questioning members' current Zoom experience and any tips they wanted to share. The statistical results were shared on the webcast, with the full responses going out to members the following day. Initial post-event survey results show members felt the webcast topics were extremely relevant with comments, including "very informative and timely" and the "presentation was very well organized and informative." The recording is available to members only in SER's library along with speaker materials. The next webcast, discussing Regulation BI, is scheduled for July 29th. 


SIFMA Webinar-Litigation Update
June 11, 2020

OUTSIDE NEWS - Members may be interested in attending a webinar hosted by SIFMA Compliance & Legal Society regarding the latest in regulatory and criminal litigation. Industry leaders and regulators will explore areas including: Individual accountability, disclosures, and coordination; What counts as cooperation for corporations these days; Navigating through privilege, case law on internal investigations, and regulator expectations; What’s old and what’s new for financial fraud; Accounting fraud; Insider trading; Spoofing; RICO; Developments in FCPA, AML, and sanctions. The event is complimentary to SIFMA members and $99 to non-members and will broadcast Thursday, June 18th from 1:00 – 2:30PM EDT. Pre-registration is required. For more information and a list of featured speakers, visit SIFMA's registration page

SER Hosts Inaugural Webcast May 28th
May 28, 2020

ROUNDTABLE NEWS - SER hosted the organization's first webcast entitled Dispute Resolution Post Covid-19 on Thursday, May 28th via the Zoom platform. President Dave Keogh moderated the distinguished panel consisting of: Richard BerryExecutive Vice President and Director, FINRA Office of Dispute ResolutionGeorge Friedman, Editor-in-Chief, Securities Arbitration Alert and Rick Ryder, Founder & Owner, SAC, Inc. Speakers discussed the effects of the COVID-19 pandemic on the Dispute Resolution process they are currently witnessing as well as their expectations for the future. The event was open to SER members and prospective members by invitation only and was well attended. Committee Chair Elizabeth Falk is pleased, stating “Our committee is gratified by the overwhelming enthusiasm and support that we have already received from the SER membership. I am very much looking forward to June’s Live Webcast on “Zoom Testimony”. We will be announcing that date very soon.” (SER members can access the recorded webcast and related materials in SER's LIbrary once they log in).

SER Members Volunteer Time Speaking with Law Students
April 22, 2020

MEMBER HIGHLIGHT - Two SER members, George Friedman and Jill Gross, volunteered their time last week to speak with law students of the Corporate and Commercial Law Society at the Elisabeth Haub School of Law. Dean Gross and Professor Friedman discussed Alternative Dispute Resolution (ADR) in the corporate sector. According to the thank you note received, student turnout was strong and they "walked away from the discussion with clear direction, a strong foundation and a renewed interest in ADR." As noted on our homepage, 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.

SIFMA Webinar-SEC Regulation Best Interest
April 21, 2020

OUTSIDE NEWS - SIFMA Compliance & Legal Socieity is hosting a complimentary webinar on April 28th at 1:00pm eastern covering the fast approaching deadline for the SEC's Regulation Best Interest compliance. Topics to be covered encompass: Complying with the new standard of care obligation; Making best interest recommendations; Demonstrating good faith efforts to comply in light of COVID-19; Managing compliance and supervisory challenges. Featured speakers include: Michelle Kelley, LPL Financial, LLC; Kevin Carroll, SIFMA; Lourdes Gonzalez, U.S. Securities and Exchange Commission; Yoon-Young Lee, WilmerHale and Dean Pinto, Morgan Stanley Wealth Management. Click here to register. Thanks to Jerry DeNigris for passing along.

AAA Webinar Covering Expert Testimony
April 21, 2020

OUTSIDE NEWS - AAA International Centre for Dispute Resolution will present a webinar on April 27th covering "Cross Examination, Expert Testimony, and Enforcement of Awards in Crisis Times: Challenges and Opportunities". Moderated by Smrithi Ramesh, Director, AAA-ICDR Asia Case Management Centre, Singapore with speakers: Michael Peer, Partner and Head of Dispute Advisory South East Asia, PWC; Chanaka Kumarasinghe, Partner, HFW; and Srikanth Navale, Arbitrator, Aarna ADR. The webinar is free, but registration is limited, so register asap. You can submit your questions with your registration so the panel can consider them and there also will be an opportunity to ask questions during the session. Click here to register. Thanks to George Friedman for passing along.

SER Member Discusses Losses in Statarbers
April 21, 2020

MEMBER HIGHLIGHT - In another recent article, SER member Gontran de Quillacq, discusses the factors that affect the performance of Statarbers, or Statistical Arbitrage, and how these factors have played out with the recent market volatility. Gontran states "There are hush-hush losses right now, which is unusual as those strategies are not directional on the market. The classic factor exposure analysis do not explain these common losses, so there are probably some large liquidations going on". Click here to read the full article.  

SAC Issues Extra Alert Concerning Coronavirus Pandemic
March 30, 2020

MEMBER HIGHLIGHT - Securities Arbitration Commentator (SAC) issues an "Extra" Alert, authored by SER member George Friedman, with breaking news of importance concerning the Coronavirus pandemic and its impact on financial services dispute resolution. The blog shares information from leaders of the American Arbitration Association-ICDR (“AAA” or “AAA-ICDR”); the International Institute for Conflict Prevention & Resolution, Inc. (“CPR”); FINRA Dispute Resolution Services (“FINRA”); and JAMS.

SER Member Authors Paper on the Recent Collapse of Malachite Capital
March 29, 2020

MEMBER HIGHLIGHT - Gontran de Quillacq, SER member and Managing Partner at Navesink International, has written a new article discussing the collapse of Malachite Capital Management, the first burst in hedge fund universe. The paper, titled "Losing Your Shirt Institutional Style', explains the risks they were taking and why. The author suggests if we "read between the lines; the positions are big enough that a bank or two might go down with them."


Bar Association Events Great Place for SER Members to Meet, Greet, Participate and Learn
March 10, 2020

OUTSIDE NEWS - In the midst of the recent market volatility, at least one seminar went forward. While the March 6 attendees at the New York State Bar Association's semi-triannual (once every year and a half) seminar on securities arbitration were greeting each other with fist bumps, elbow bumps, bows and curtsies, due to COVID-19 precautions, they came out in record numbers this year. The Program, sponsored by NYSBA and dubbed, "Securities Arbitration 2020: Deep Dive," by co-moderators David E. Robbins, and James D. Yellen, featured a truly superb and diverse faculty and ably covered the news and developments of the day. Attending the standing -room-only event were, perhaps, a dozen SER Members and several of them, including President-Elect Elizabeth Falk, Past-Presidents Stan Meyerson and Ross Tulman, joined the faculty of speakers. Elizabeth and Stan formed half the Panel discussing "Remedies and Damages" and Ross moderated that very same Panel. This was an inexpensive, yet popular, conference that offered SER experts an excellent source of knowledge and learning, together with quality networking opportunities. Consider checking out local Bar Association and similar events in your locality. 


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