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Welcome New Member Jesy LeBlanc
February 4, 2025

Visit Jesy's full profile here, or by clicking above.


 
Welcome New Member Kat Miller
February 4, 2025

Visit Kat's full profile here, or by clicking above.


 
Read The Latest Issue of The Expert's Examiner
January 3, 2025

ROUNDTABLE NEWS - Access the latest issue of SER's quarterly newsletter, "The Expert's Examiner", by clicking above. All issues, including this one, can also be accessed on the Newsletter tab of our website.


 
SER Members Provide Input to FINRA's NAMC Discovery Guide Subcommittee
December 31, 2024

ROUNDTABLE NEWS & MEMBER HIGHLIGHT - SER was honored to comply with a request to assist FINRA's National Arbitration and Mediation Committee (NAMC) Discovery Subcommittee. In conjunction with the accelerating trend of financial professionals migrating to the investment advisory platform, NAMC sought SER’s advice as to how the FINRA discovery guide should be modified to accommodate the expected surge in investment advisor related disputes. Ross Tulman (Director Emeritus and two time past President), and Jeffery Schaff (also a two time past President), independently provided detailed responses that were submitted to the NAMC. 

Richard (Rick) Berry, Director of FINRA Dispute Resolution Services, shared that the Subcommittee has met numerous times and has scheduled three more in person meetings throughout 2025. Rick thanked SER “for providing its expertise to the Subcommittee regarding the BD/IA portion of the Subcommittee’s work." Rick shared the Subcommittee is updating the entirety of the Discovery Guide. Once the Subcommittee finishes its work, "it’s off to the FINRA Board, and then a rule filing with the SEC, public comment, and eventually, approval."

As a dispute neutral organization, part of SER's core purpose is to help improve the dispute resolution process in areas where we can be of assistance.


 
Visibility Matters: Mastering SEO to Grow Your Expert Witness Practice
December 12, 2024

ROUNDTABLE NEWS - SER's Practice Management Committee (PMC) hosted a member only webcast on Friday December 6th. "Visibility Matters: Mastering SEO to Grow Your Expert Witness Practice” was an hour long webcast designed to equip members with the knowledge and tools needed to effectively leverage Search Engine Optimization (SEO) strategies to enhance visibility and attract more clients. Guest Speaker Jaryn Dominique, Chief Deviant Officer of Deviant Digital Services, shared with members the steps to take to enhance their online presence, driving more inquiries and opportunities to significantly increase their visibility in a competitive market. The event was well attended with very positive feedback! SER members can access the recording in our Library. This is the first in a series of webcasts planned by the PMC. Committee members include Chair Colleen Diles, Co-Chair Alan Bensoff, Paul CarrollJerry DeNigrisJeffrey HolikRobert N. JonesJeffery E. Schaff and Gordon Yale. Make sure to keep posted on upcoming events by visiting our Upcoming Events!


 
Welcome New Member Lisa James
November 30, 2024

 

 

 

 

 

 

 

 

 

 

 

Visit Lisa's full profile here, or by clicking above.


 
Welcome Back Member Jack Duval
November 18, 2024

 

 

 

 

 

 

 

 

 

 

 

Visit Jack's full profile here, or by clicking above.


 
SER Member Colleen Diles Speaks at the Recent NSCP Conference
November 15, 2024

MEMBER HIGHLIGHT - SER member Colleen Diles spoke at the National Society of Compliance Professionals (NSCP) Conference in October.  Ms. Diles, a current SER Director, addressed FINRA’s regulatory practices in response to the evolving landscape of remote work. The panel: Remote Supervision Pilot Program and Residential Supervisory Locations (RSLs), addressed key aspects of FINRA's remote inspections and the designation of RSLs amid the growing trend of flexible work arrangements. Along with her fellow panelists, Colleen discussed the RSL impact to firm supervisory programs, governance, risk assessments, and quarterly reporting. This is the second year Ms. Diles has been a panelist at the NSCP conference.


 
SER Member Gontran de Quillacq's Firm Honored with Expert Award
October 5, 2024

MEMBER HIGHLIGHT - SER member Gontran de Quillacq recently announced his firm, Navesink International, was awarded the "Best Financial Markets Expert Witness Specialists 2024 – USA" award by Acquisition International. Acquisition International, a flagship brand of AI Global Media, is an international, monthly digital business magazine "committed to bringing its readers up to the minute news, comment and analysis." 2024 was the inaugural addition of their Expert Witness Awards, where they recognized "the leading experts across a wide range of fields, whose top-class research, investigation, testimony, and consulting services have provided vital assistance in courtroom settings and related legal proceedings." You can read more about the award here, and see Navesink's announcement here.  


 
Welcome New Member Mike Evans
September 26, 2024



 

 

 

 

 

 

 

 

 

 

Visit Mike's full profile here, or by clicking above.


 

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SER Members serve parties engaged in securities disputes. SER is a party-neutral organization. Items published in this Newsroom that express an opinion or a party bias are not reflective of SER's policy positions or its views as an organization. Items published in the Newsroom on this Website may also be published on SER's LinkedIn Page.

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