Podcast on Anti-Money Laundering Produced by SER Member
January 29, 2020
MEMBER HIGHLIGHT - Anti-Money Laundering has become a hot topic in the investment industry over the past few years. SER member John Foster, President/CEO of Bedford and Main Financial Consulting, Inc., has produced a new podcast titled "A Primer on Anti-Money Laundering (AML) for Broker-Dealers." The podcast is available on John's member profile or directly here. We have also added it to our SER Library. John created the podcast at the suggestion of current President Dave Keogh. When asked about the production effort John replied "I truly didn’t appreciate how much more a podcast took to develop than a normal article. It was actually much more wok that I anticipated, but I am happy to have accomplished it."
SER Members Participate in SAC Editorial Board Dinner
January 24, 2020
MEMBER HIGHLIGHT - SER members Roger Deitz, George Friedman, Rick Ryder, and Ross Tulman attended the Securities Arbitration Commentator Board of Editors dinner meeting January 22 in New York City, hosted by Messrs. Ryder and Friedman. Among other things, the group discussed the ongoing transition of the online weekly Securities Arbitration Alert, now being edited by Mr. Friedman, to a web-based format. As the name indicates, the Board of Editors functions in an advisory capacity to the SAC Publishers, serving as the publication's “eyes and ears.” Members also contribute articles and recruit articles from others.
SER Member Selected by the CFP Board of Standards as Hearing Panelist
January 24, 2020
MEMBER HIGHLIGHT - SER member Alan J. Besnoff, CFP, ChFC, CLU, of Securities Expert Witness & Litigation Support LLC, has been selected by the Certified Financial Planner (CFP) Board of Standards to serve as a Hearing Panelist. As a Hearing Panelist, Mr. Besnoff works with and assists the Disciplinary and Ethics Commission in reviewing and taking appropriate action with respect to alleged violations of or non-compliance with CFP Board's Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards, as well as conduct pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement. Alan also serves on SER's Board of Directors and is the current Membership Chair. His committee has brought in manynew members in his short tenure. If you know an expert you think would be a good candidate for SER membership, please reach out to Alan for assistance.
SER Members to Participate in NYSBA Securities Arbitration 2020 Deep Dive
January 22, 2020
MEMBER HIGHLIGHT - SER Member Ross Tulman, of Trade Investment Analysis Group, will be moderating a panel on March 6th at the New York State Bar Association's "Securities Arbitration 2020 Deep Dive" in New York City. Panelists of the session, "Remedies and Damages", will also include SER member Elizabeth Falk, of Falk Financial Analysis. Ross, a past President of SER and Elizabeth, the current President-Elect, both serve on SER's Board of Directors. Among the many recognizable speakers are FINRA's Richard Berry and Professor Christine Lazaro, Director of the Securities Arbitration Clinic at St. John's University School of Law. For more information on this NYSBA event, including the agenda and registration information, visit their website.
SER Board of Directors Meet in Dallas
January 16, 2020
ROUNDTABLE NEWS - SER's Board of Directors met in Dallas on Saturday, January 11th for its semi-annual board meeting. Directors meet all day, having traveled from across the country at their own expense, to review the past year's initiatives and financial health of the organization. New business included approval of membership and conference fees as well as discussing plans for the new year. Current President, David Keogh, expressed his gratitude to the directors stating "I know it’s not easy to juggle personal and professional commitments to attend the board meeting and your efforts are truly appreciated." Directors are elected for three year terms and can serve up to two consecutive terms. The President's Update will be issued later this month with more details from the meeting.
Recent News from the Arbitration Front-November 2019
December 4, 2019
WHAT ARE THE COURTS (AND ARBITRATORS) THINKING? Contributor: George H. Friedman (George@GFriedmanADR.com) This column contains short blurbs on court cases, awards, and articles of interest that are candidates for coverage in the Securities Arbitration Alert (“SAA”), and the Securities Online Litigation Alert (“SOLA”), publications of the Securities Arbitration Commentator. It offers no analysis or evaluation; items are listed in chrono order. Also, although some items don’t necessarily relate to financial services arbitration, we think they might be of interest to SER members. Readers may click on the links for more information. Click here for the second installment.
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