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Roundable News - SER appreciates our Sponsors for this year's Annual Conference.

Platinum Level: MK Campion - Campion and Associates; Colleen Diles - Diles Consulting; Charles Ranson - Charles W. Ranson Consulting Group, LLC

Gold Level: Patricia Koetting - Koetting & Associates; Alan J. Besnoff - Securities Expert Witness & Litigation Support, LLC; Jerry DeNigris -Riverside Financial Group

Silver Level: Bruce Foerster - South Beach Capital

ROUNDTABLE NEWS — Congratulations to Patrick Dennis on the completion of his term as President at SER’s Annual Member Meeting in Washington, D.C. on August 6th. After two years of service on the Board and stepping in early as acting President, Patrick provided steady leadership while also chairing the 2025 Annual Expert Conference in Chicago. Throughout his 2025–2026 term, he strengthened SER’s standing within the securities dispute resolution community and advanced our mission of professional development, ethics, and integrity. He will continue to serve on the Board for another year in the role of Past President, completing his second term as a Director. SER extends its deepest thanks to Patrick for his dedication, professionalism, and exceptional service to the organization.

At the Annual Member Meeting, Patrick passed the gavel to incoming President Jerry DeNigris. Jerry was elected President‑Elect in 2025 and served as Conference Chair for this year’s Annual Expert Conference, which took place immediately following the meeting. Now in his third term as a Director—having previously served on the Board from 2017 to 2023—Jerry brings deep organizational knowledge and a long record of service to SER. We look forward to his leadership, guidance, and continued commitment to strengthening SER’s role within the securities dispute resolution community.

SER extends its sincere appreciation to both Patrick Dennis and Jerry DeNigris for their service and leadership! Read the full Annual Meeting & Expert Conference recap here.

ROUNDTABLE NEWS - The annual election of Directors and President-Elect took place on August 6th, at the Annual Member Meeting in Washington D.C. Each year, the Nominating Committee selects a slate of candidates to fill seats for retiring Director positions and the President-Elect. The committee puts great effort toward nominating active members and balancing the Board with experienced directors and bringing on newer candidates. The Nominating Committee’s slate was unanimously approved by the Voting Membership in attendance. The Board of Directors consists of 12 members. Directors generally serve three-year terms, and can serve no more than two consecutive terms. Current Director David Hinman was elected as President-Elect with the key role of Conference Agenda Chair for the upcoming year. The Directors added to the Board were new members Mike Evans and John Ivan, and returning for a second term are Jeffrey Holik, and Lori Raineri. Our next annual conference will be held in New York City on July 22-23, 2027. Congratulations to all! See the full Board of Directors here. 

Read the full Annual Meeting recap here.

ROUNDTABLE NEWS - SER members Charles Bennett and Keith Loveland were honored in absentia on August 6th at this year's Annual Member Meeting in Washington D.C. Charles and Keith were recognized with a commemorative plaque for their dedicated service on the Board. Charles served three years on the Board, from 2023-2026, and served as Public Relations Chair as well as other committees. Keith also spent three years on the Board, from 2023-2026, and served as SER's Secretary, Audit Chair, and Public Relations Chair, among other committee participation. SER attributes its ongoing success and growth to the commitment of members like Charles and Keith. Thank you both for your years of service. Read the full Annual Meeting Recap here. 

ROUNDTABLE NEWS - The honor of Director Emeritus, a special designation bestowed by the Board of Directors, was presented to former Directors Geraldine "GG" Genco Dube and Gordon Yale in their absence. GG served four terms totaling 11 years, from 2007-2013 and 2019-2024, and served as President from 2011-2012,  co-chaired three conferences (1998, 2009, and 2011) and served as Treasurer and Secretary. Gordon served a total of 12 years on the Board, from 2007-2013 and 2017-2022, served two terms as President, 2010-2011 and again in 2018-2019, as well as serving on various committees. We are grateful for your contributions! Read the full Annual Meeting recap here.

ROUNDTABLE NEWS - Director Emeritus and Past President Bruce Forester was given special recognition and honored with a plaque in appreciation for his distinguished service, dedication and continuing support for SER. Bruce served on the Board from 2009-2017 and as President from 2015-2016. As the Finance Committee Chair for several years, he was a prominent force increasing financial controls and getting SER's Treasury level to withstand a major disruption. He continues to attend and sponsor SER's annual conferences, having been almost every year since he joined over 23 years ago in 2003. Thank you Bruce! Read the full Annual Meeting recap here. 

MEMBER HIGHLIGHT — SER member Gontran de Quillacq recently shared an article titled "Fifty Fault Lines in Prediction Markets."  The article explores how prediction markets, marketed as a technological leap in forecasting that aggregates "wisdom of the crowd" into prices claiming to outperform pundits and polls, have accumulated fifty structural, legal, and human problems as they scaled from academic curiosity to tens of billions of dollars in monthly volume—problems organized into six themes: information asymmetry and insider advantage; market mechanics, pricing, and manipulation; regulatory architecture and legal classification; business model and predatory practices; consumer protection and public health; and systemic, political, and societal risk. Each entry explains what the issue is, why it poses a risk to consumers, market integrity, and the rule of law, and where to verify the claim, without seeking to relitigate whether prediction markets are, on net, good or bad—the piece closes with legitimate institutional use cases as a counterweight—but instead to lay out what still needs to be addressed by whoever ends up regulating the industry, whether the CFTC, state gambling regulators, Congress, or the courts, functioning for litigators, expert witnesses, and allocators as an issue-spotting reference mapping where exposure is likely to surface next. You can read the full article on his website, along with other insights on his blog.

Disclaimer: SER is a dispute-neutral member organization. The views expressed in any article or event are those of the individual presenters in their individual capacities only.

MEMBER HIGHLIGHT — SER member Robert “Bob” Lawson recently published an article titled “The Broker-Dealer Exclusion and the Fiduciary Question: An Analytical Framework for Arbitrators” in Volume 33, No. 1 of the 2026 PIABA Bar Journal. The article presents a conduct-based framework for evaluating the “solely incidental” component of the broker-dealer exclusion under the Investment Advisers Act of 1940. It examines the distinction between episodic brokerage services and ongoing advisory relationships, explains how the SEC’s 2019 Interpretations IA-5248 and IA-5249 operate in separate analytical lanes, and distinguishes the broker-dealer exclusion inquiry from Regulation Best Interest’s recommendation-specific obligations. The article also identifies communications, account-review records, supervisory materials, and other evidence that may help arbitrators assess the actual scope and character of the services provided. Bob is President of Barrington Financial Consulting Group, Inc., President and Chief Compliance Officer of Barrington Capital Management, Inc., a Chair-qualified FINRA arbitrator, FINRA mediator, and securities expert witness. You can read the full article here.

Disclaimer: SER is a dispute-neutral member organization. The views expressed in any article or event are those of the individual presenters in their individual capacities only.

MEMBER HIGHLIGHT - SER member Antonio Rega recently shared an article titled "Shadow AI Meets Reg S-P: Why Unsanctioned AI Use is Now a Safeguards Problem." The article presents a growing risk of confidential data flight that directly impacts a financial firm's compliance obligations under Regulation S-P and FINRA. Recent regulatory milestones, such as the SEC's newly enforced S-P amendments and FINRA's 2026 guidelines, require firms to actively identify and supervise any AI tool processing nonpublic personal information. To comply, organizations must bring these tools under formal technology controls, maintain detailed asset inventories, and establish structured incident response plans for AI-related data exposure. Antonio is the Managing Director of Tech Forensics, eDiscovery, and Data Privacy/Security at Bates Group. You can read the full article here. 

Disclaimer: SER is a dispute-neutral member organization. The views expressed in any article or event are those of the individual presenters in their individual capacities only.

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