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The Next Edition of The Expert's Examiner is Now Available
September 21, 2020


ROUNDTABLE NEWS - The latest issue of The Expert's Examiner is now available. The newsletter, published by the Public Relations Committee in conjunction with George Friedman, offers members and the public, timely content on matters relavent to our profession. Along with articles on recent developments in arbitration and the courts, the publication also includes regulatory news, SER committee updates and member highlights, and upcoming events of interest. Other contributing editors include SER members: Jerry DeNigris, GG Genco, Patti Koetting and Hollie Mason. You can access the issue here, or on our homepage. Non-members are encouraged to subscribe to receive the newsletter, only three times per year, directly to their inbox. 

The Bond Portion of the Capital Marketplace is SER's next Webcast Topic
August 20, 2020

ROUNDTABLE NEWS"The Bond Markets Portion of the Capital Marketplace: Yesterday, Today and Tomorrow", is the title and topic of SER's upcoming webcast, scheduled for August 25th at 11:00am (eastern). The session, moderated by SER member Gerry Guild, will include panelists Jerry DeNigris, an SER member and Board Director, and outside speaker Jerry Rubin. All three speakers have a breadth and depth of knowledge on the topic, having a century worth of experience between them. This is the fourth production in the newly developed series, initiated in response to the pandemic, to give members added value while they stay safe at home. This is a member-only event, or by special invitation. More details and registration can be found here

SER Member on Panel to Judge Pension Bridge IAMAs
August 4, 2020

MEMBER HIGHLIGHT - SER member Marty Dirks has been chosen to be a judge for the 2020 Pension Bridge Institutional Asset Management Awards (IAMS). The annual awards "recognize and reward the institutional asset management industry for performance and excellence across various strategies, enabling asset managers to benchmark and prove themselves against their competition." The panel of independent judges use quantitative and qualitative criteria to determine winners in various categories of fund performance. Marty is a Senior Adjunct Professor of Finance at Golden Gate University and held positions in many areas of the asset management industry: hedge fund manager, investment consultant to endowments, foundations and pension plans and as a pension plan board member. He is also an expert witness in complex financial litigation.

Outside Webinar on the Pandemic's Effect on Litigation
July 30, 2020

OUTSIDE NEWS - Goodwin Procter LLP, based in Boston, will be presenting "Litigation of the Future", a webinar addressing the effects the COVID-19 pandemic has had on the litigation process, specifically how cases proceed, how the resolution timeline has changed, and how parties have had to reevaluate how to achieve their goals. Discussions will include best practices for remote hearings and depositions, and the effectiveness of remote mediation. The event is referred by new member Jeff Estella, who has "been a consumer of Goodwin’s complementary content for a while now." It is scheduled for August 5th at 4:00pm EDT. For more information, and a link to register, visit their webpage here.

SER Member Analyzes the Risks of Allianz Global Structured Alpha US Equity 250
July 30, 2020

MEMBER HIGHLIGHT SER member Gontran de Quillacq's newest article analyzes the recent losses at the Structured Alpha funds of Allianz Global Investors during the February-March 2020 market volatility. The author calculates the risk matrices of the portfolio of equities, index and VIX options, explaining why one of the “largest losses in the history of derivatives trading” is actually in line with the significant tail-risk taken by the portfolio managers. The analysis points out significant discrepancies with marketing material from the fund, who's institutional clients include the pensions of Blue Cross Blue Shield employees, Arkansas Teachers Retirement System, and San Diego City Employees. To read the full article, visit Navesink's website here.

SER's Next Webcast Addresses Regulation BI
July 26, 2020

ROUNDTABLE NEWS - SER will be hosting their next webcast, "What Regulation B Does, and What it Doesn't", on July 29th. The broadcast will explore the primary features of Reg BI and how the new standards depart from previous requirements. Although Reg BI imposes new responsibilities on brokers, the webcast will explore the substantial differences that remain between the duties of brokers and those advisers subject to stringent fiduciary obligations. Hollie Mason, a new SER member and former senior enforcement counsel with FINRA and Richard Leisner, a longtime SER member and securities attorney will lead the panel, which will be moderated by Gordon Yale.  This will be SER's third webcast since making the difficult decision to cancel their in-person conference for the first time in 28 years. The Board moved quickly to establish a webcast committee to keep members engaged and has been very pleased with the productions and member attendance. 

SER Board Member Recently Elected as Vice-Chair of MRFC
July 13, 2020

MEMBER HIGHLIGHT - SER Board member and Practice Management Chair, Bob Lawson, was recently elected as Vice Chairman of the Board of the Master Registered Financial Consultants (MRFC®), a division of the International Association of Registered Financial Consultants, (IARFC®). Bob was formerly the Secretary of MRFC® and has been an active member of IARFC® since 1997. He explains the MRFC® Board "has been tasked with developing and maintaining one of the most important programs established by the IARFC®." Independent from the Association and the IARFC® Board of Directors, they form an integral group that is working on the MRFC® Certification Program. Bob adds, "In the current environment of promoting ethical financial consultants, [he], and the Board work diligently to elevate designations to an elite level." The Board meets regularly and plans strategy to meet the requirements of the third-party certifying agency which means a constant review of policies, procedures, and examination material.

SERís 2nd Webcast Discusses Basic Considerations for Zoom Testimony
June 29, 2020

ROUNDTABLE NEWS - SER hosted its second webcast, Zoom Testimony-The Basics, on June 25th. Moderated by Elizabeth Falk, SER's President-Elect, the webcast featured Karinya Verghese, FINRA's Associate Regional Director of Dispute Resolution Services (West Region). Ms. Verghese, who has been instrumental in setting up the Zoom hearing procedures, walked attendees through the nuts and bolts of the process, including a Q&A session. The webcast also included tips on audio/visual setup and equipment, as well as a brief Zoom tutorial. The webcast was preceded with a survey questioning members' current Zoom experience and any tips they wanted to share. The statistical results were shared on the webcast, with the full responses going out to members the following day. Initial post-event survey results show members felt the webcast topics were extremely relevant with comments, including "very informative and timely" and the "presentation was very well organized and informative." The recording is available to members only in SER's library along with speaker materials. The next webcast, discussing Regulation BI, is scheduled for July 29th. 


SIFMA Webinar-Litigation Update
June 11, 2020

OUTSIDE NEWS - Members may be interested in attending a webinar hosted by SIFMA Compliance & Legal Society regarding the latest in regulatory and criminal litigation. Industry leaders and regulators will explore areas including: Individual accountability, disclosures, and coordination; What counts as cooperation for corporations these days; Navigating through privilege, case law on internal investigations, and regulator expectations; What’s old and what’s new for financial fraud; Accounting fraud; Insider trading; Spoofing; RICO; Developments in FCPA, AML, and sanctions. The event is complimentary to SIFMA members and $99 to non-members and will broadcast Thursday, June 18th from 1:00 – 2:30PM EDT. Pre-registration is required. For more information and a list of featured speakers, visit SIFMA's registration page

SER Hosts Inaugural Webcast May 28th
May 28, 2020

ROUNDTABLE NEWS - SER hosted the organization's first webcast entitled Dispute Resolution Post Covid-19 on Thursday, May 28th via the Zoom platform. President Dave Keogh moderated the distinguished panel consisting of: Richard BerryExecutive Vice President and Director, FINRA Office of Dispute ResolutionGeorge Friedman, Editor-in-Chief, Securities Arbitration Alert and Rick Ryder, Founder & Owner, SAC, Inc. Speakers discussed the effects of the COVID-19 pandemic on the Dispute Resolution process they are currently witnessing as well as their expectations for the future. The event was open to SER members and prospective members by invitation only and was well attended. Committee Chair Elizabeth Falk is pleased, stating “Our committee is gratified by the overwhelming enthusiasm and support that we have already received from the SER membership. I am very much looking forward to June’s Live Webcast on “Zoom Testimony”. We will be announcing that date very soon.” (SER members can access the recorded webcast and related materials in SER's LIbrary once they log in).


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