Newsroom


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."

 

 


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