MEMBER HIGHLIGHT - SER member Lisa James was recently highlighted as one of the professional mentors supporting the University of Maryland’s Justice for Fraud Victims (JFV) program in its new partnership with the Frederick County State’s Attorney’s Office. In this role, she helps guide student investigators as they conduct forensic accounting analyses for complex financial‑crime cases, ensuring their work meets the standards required for prosecution. Her expertise strengthens JFV’s ability to deliver high‑quality fraud examinations for nonprofits, small businesses, and law enforcement—while also shaping the next generation of forensic accounting professionals. This collaboration is a powerful example of how experienced practitioners like Ms. James strengthen both community outcomes and the future of our field. As a Certified Fraud Examiner (CFE), Certified Financial Crime Specialist (CFCS), Digital Assets Compliance Specialist (DACS), and Open-Source Certified (OSC). Ms. James is well-versed in fraud detection, fraud prevention, financial crime prevention, AML procedures, social engineering, due diligence, TPRM, OSINT techniques, SAR writing, Crypto, Digital Assets and regulatory compliance. Read the full article on UMD Robert H. Smith School of Business website.
MEMBER NEWS, by Rick Ryder SER/SAC - Our friend and colleague George H. Friedman died on November 22, after an 18 year battle with Multiple Sclerosis. SER Members may remember George, both as the author of the arbitration column in the Roundtable’s The Expert Examiner and as a speaker, alongside FINRA Dispute Resolution’s (FINRA-DR) Rick Berry, at the group’s annual conferences. George was amply equipped for both roles, as well as his expert pursuits, following upon a career-long dedication to the practice and improvement of the dispute resolution process. George came to us from outside the securities business, after serving in numerous roles at the New York headquarters of the American Arbitration Association, when recruited by NASD Regulation for the EVP position of Arbitration Director. He consulted me then, as a former Director, and later told me that, on his train ride to Washington to interview — before being offered or having accepted the position — he "blue-penciled" the existing Code of Arbitration to be more reader-friendly and chronologically structured.
I shall remember George fondly as a great story-teller with a persuasive, confident air and a quick wit. He was also, to me, a supportive partner in editing and producing the various publications of the Securities Arbitration Commentator, Inc (“SAC”) from 2013 through 2019. From 2019 until 2024, after which his illness became too grave, he became Editor-in-Chief and publisher of the weekly email, Securities Arbitration Alert. He departed FINRA-DR, after a remarkable 16-year stint, during which NASD became FINRA, the Arbitration Code was transformed into three separate Codes and the text re-organized, (as George had envisaged), and claim volume for customers soared on losses stemming from the "Schlock House” frauds (think Leonardo DiCaprio), the Tech Crash, and the Financial Collapse. He was a towering figure in arbitration, a student of the practice, a visionary of online DR, an advocate for fairness, and, in a long-standing role as a Fordham Law Professor, a teacher and scholar on the subject. He was tireless, enjoyable, faithful, intellectual, funny and creative. He loved this organization and recognized, both when he was Director and beyond, its special character as a neutral, yet positive force.
In recent days, while George was in hospice, many friends and colleagues submitted tributes and goodbyes. Read to him by his wife, Ellen, these messages brought joy to George; they also comforted and enlightened his family, friends and community to his influence in the DR field and the high regard in which he was held. His family sends thanks to those SER Members who sent such messages for their thoughfulness.
MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar, PhD, CFA speaks with cryptocurrency expert Professor Gerald P Dwyer of Clemson University and the Bitcoin Policy Institute on a new podcast titled "Are We in a Bitcoin Bubble." The session, part 1 of a 2-part series on Cryptocurrency, discusses "some of the most crucial and challenging questions arising in the cryptocurrency space, including the key drivers of the value of cryptocurrency, whether we are in a Bitcoin bubble, and whether cryptocurrency should be classified as a currency or a security." Dr. Kumar is a principal at Advanced Analytical Consulting Group (AACG), which provides economic, statistical, and computing consulting for business decisions and litigation. The podcast can be accessed on AACG's website here.
MEMBER HIGHLIGHT - SER member Colleen Diles recently spoke on the podcast series The Hidden Entrepreneur Show. In the episode titled "The ex-FINRA Insider You Want in Your Corner" she shared powerful insights on leadership, regulatory strategy, and expert witness work. With more than 22 years at FINRA and now leading Diles Consulting, Colleen discussed the importance of confidently communicating with regulators, staying calm and credible under cross-examination, why empathy and integrity are essential tools for consultants and experts, among other advice. She is described as pairing "sharp analysis and ironclad clarity with an almost surprising calm and compassion." The podcast was recorded live at the iconic iHeartMedia studio in New York City, and was an engaging dialogue that highlighted the unique journey of entrepreneurship. You can listen to the podcast on Spotify here.
MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar takes the stage in a recent episode of On the Stand with Ashish Arun, where she shares rare insights from her career testifying in complex financial, securities, and commercial disputes. In this thought-provoking conversation titled "How Boutique Firms, Technology, and Diversity Are Shaping Expert Witness Work", Dr. Kumar explores how expert witness work is evolving with the rise of technology, AI, and crypto, while emphasizing the importance of diversity, credibility, and collaboration in litigation consulting. From her early experiences at leading consulting firms to her leadership in specialized practices, Dr. Kumar highlights how smaller firms are reshaping the expert witness landscape, what attorneys value most when selecting financial experts, and how professionals can adapt their expertise for new frontiers in fintech and AI-driven disputes. Listen to the full episode here.
MEMBER HIGHLIGHT - SER members Mary Kathryn Campion, Ph.D., CFA®, AIFA® and Keith (Sunny) Loveland, Juris Doctor, AIF®, AIFA® contributed on the fourth major revision of the "Prudent Practices for Investment Advisors". The handbook defines a global fiduciary standard of excellence for professionals who provide investment advice, including financial advisors, broker-consultants, trust officers, financial planners, and fiduciary advisors. It is developed and maintained by The Center for Fiduciary Studies, which is the standards-setting body for the Center for Fiduciary Excellence (CEFEX) and is supported by a team of experienced investment practitioners, attorneys, educators, and other professionals. The Center also confers two highly respected industry designations for investment professionals: Accredited Investment Fiduciary® (AIF®) and Accredited Investment Fiduciary Analyst® (AIFA®). Campion and Loveland are on the faculty of The Center for Fiduciary Studies, teaching the Accredited Investment Fiduciary course. You can download the manual here (you will need to register in order to login and download).
MEMBER HIGHLIGHT - In a recent Law360 article, SER member Pavithra Kumar, Ph.D., explores the SEC’s proposed shift from quarterly to semiannual reporting and its potential ripple effects on litigation risk and market behavior. While the change may ease compliance burdens and encourage long-term strategy, Kumar warns it could also heighten exposure to securities fraud claims, insider trading scrutiny, and volatility driven by informal disclosures. Her analysis urges legal teams to prepare for a new terrain where fewer mandated filings may mean more litigation—not less. Dr. Kumar is Principal at AACG and holds a PhD in Finance from the MIT Sloan School of Management. Her expertise in statistical modeling, econometrics, and damages quantification positions her uniquely to decode complex legal and economic questions.
Read the full article on Law360 here.
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