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."
Bar Association Events Great Place for SER Members to Meet, Greet, Participate and Learn
March 10, 2020
OUTSIDE NEWS - In the midst of the recent market volatility, at least one seminar went forward. While the March 6 attendees at the New York State Bar Association's semi-triannual (once every year and a half) seminar on securities arbitration were greeting each other with fist bumps, elbow bumps, bows and curtsies, due to COVID-19 precautions, they came out in record numbers this year. The Program, sponsored by NYSBA and dubbed, "Securities Arbitration 2020: Deep Dive," by co-moderators David E. Robbins, and James D. Yellen, featured a truly superb and diverse faculty and ably covered the news and developments of the day. Attending the standing -room-only event were, perhaps, a dozen SER Members and several of them, including President-Elect Elizabeth Falk, Past-Presidents Stan Meyerson and Ross Tulman, joined the faculty of speakers. Elizabeth and Stan formed half the Panel discussing "Remedies and Damages" and Ross moderated that very same Panel. This was an inexpensive, yet popular, conference that offered SER experts an excellent source of knowledge and learning, together with quality networking opportunities. Consider checking out local Bar Association and similar events in your locality.
SER Issues First Press Release
March 9, 2020
ROUNDTABLE NEWS - In effort to gain further awareness of the Securities Experts Roundtable, the Public Relations Committee issued the organization's first Press Release on March 6th, announcing the dates of this year's conference. You can see the press release here. PR Chair Carrie Wisniewski reports the release has been picked up by 121 news agencies with a total potential audience of 83 million.
SER Members George Friedman and Rick Ryder Jointly Author Blog Post
March 9, 2020
MEMBER HIGHLIGHT - “WHAT’S PAST IS PROLOGUE” – ALL OVER AGAIN. WHAT’S AHEAD FOR ARBITRATION FILINGS IN THE WAKE OF THE MARKET’S RECENT VOLATILITY. The crashing and recovering capital markets in the wake of the worldwide Coronavirus outbreak caused the SER’s George H. Friedman and Rick Ryder to reflect on what this might mean for FINRA’s arbitration caseload. It wasn’t that hard; dusting off and updating a 2015 blog post was all that was needed. Their new blog post focuses on recent capital market gyrations and volatility, and what these events mean for securities arbitration case filings and the participants. Readers are encouraged to visit our blog, but we share here the key points: Arbitration Filings Run Countercyclical to Market Performance. People Don’t Fight So Much When Times are Good. More Arbitration Filings Ahead? What Kinds of Cases? Frauds and Scams. Time for Another Look at Online ADR?
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 work than I anticipated, but I am happy to have accomplished it."
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