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Dr. Pavithra Kumar Leads Final Crypto Litigation Webinar
September 7, 2025

MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar is co-hosting the third webinar in the series on cryptocurrency litigation, Penny Wise and Crypto Foolish: Currencies and the Rise of Crypto-Litigation. Presented with Dr. Timothy Weithers through Advanced Analytical Consulting Group (AACG), the series explores the rapidly evolving intersection of crypto, finance, and the law. The third session, “So Many Crypto Crimes, So Little Time: Previous and Likely Future Crypto Litigation,” airs Thursday, September 18, 2025 at 2:00 PM EDT. From fraud and misrepresentation to money laundering, theft, and market manipulation, this capstone program surveys where crypto has already run afoul of the courts, and where the next wave of disputes may emerge. Dr. Weithers and Dr. Kumar will examine how cryptocurrencies can facilitate misconduct (misleading investors, tax evasion, and more) and unpack risks unique to digital assets, including hacking and electronic wallet theft; violations of ICO memoranda or prospectuses; inadequate protections in crypto lending/rehypothecation; ETF tracking failures; breaches of fiduciary duty; and cross-border complications. They will also address the unsettled regulatory landscape, highlighting the lack of consensus among U.S. regulators (SEC, CFTC) and in Europe (MiCAR) on when crypto is a security and who should regulate it, along with the enforcement and litigation implications. 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 the complex legal and economic questions at the heart of crypto litigation.

Learn more about the webinar series here.


 
Jerry DeNigris to Speak at PLI Securities Arbitration 2025
September 5, 2025

MEMBER HIGHLIGHT - SER member Jerry DeNigris has been invited to speak at PLI’s Securities Arbitration 2025 program at PLI New York on September 11, 2025. Jerry will participate in the 10:15 AM panel, “The Best Use of Experts in the FINRA Forum,” moderated by Sandra Grannum from Faegre Drinker Biddle & Reath LLP. The session will cover when to retain an expert and how to deploy that resource most effectively in arbitration or mediation. Topics will include using experts early to assess damages and claim viability, engaging them as consultants in case preparation, leveraging their input to prepare witnesses, and deciding when to designate a testifying expert. Drawing on his extensive experience, Jerry will offer insights on aligning expert work with case strategy to drive efficient, credible outcomes. Event details are available on PLI’s website here.


 
Welcome New Member Allan Jordheim
September 4, 2025

 

 

 

 

 

 

 

 

 

 

 

Visit Allan's profile here, or by clicking above.


 
Many Thanks to Our Sponsors for the 2025 Annual Conference
August 4, 2025

ROUNDTABLE NEWS - SER appreciates our Sponsors for this year's Annual Conference.

Platinum Level: Colleen Diles @Diles Consulting; Paul Carroll @Sententia LLC; Keith Loveland @Loveland Consulting; Charles Ranson @Charles W. Ranson Consulting and David Hinman @Hinman Capital Services.
Gold Level: Stu Rosenthal @DamagesPro; Patricia Koetting @PKoetting & Associates; Catherine Mustico @Fundamental Compliance Consulting; Pavithra Kumar @Advanced Analytical Consulting Group and Bruce Foerster @South Beach Capital Markets.
Silver Level: Bruce Foerster @South Beach Capital Markets and Gene Phillips @Lexangle.

Click here to Visit our Full Conference Recap!


 
Annual Election of Directors and President-Elect
August 1, 2025

 
 
 
 
 
 
 
 

ROUNDTABLE NEWS - The annual election of Directors and President-Elect took place on July 17th at the Annual Member Meeting in Chicago. Each year, the Nominating Committee selects a slate of candidates to fill seats for retiring Director positions and the President-Elect. The committee puts great effort toward nominating active members and balancing the Board with experienced directors and bringing on newer candidates. The Nominating Committee’s slate was unanimously approved by the Voting Membership in attendance. The Board of Directors consists of 12 members. Directors generally serve three-year terms, and can serve no more than two consecutive terms. The President-Elect serves a one-year term with the key role of Conference Agenda Chair for the upcoming year. The Directors added to the Board at the conclusion of the meeting were Alan Besnoff, Paul Carroll (serving a second term), Jerry DeNigris, David Hinman, and Charles Ranson (serving a second term). Incoming Director Jerry DeNigris was elected as President-Elect and will chair the conference committee in 2026 slated for August 6 & 7, 2026 in Washington D.C. Congratulations to all! See the full Board of Directors here.
 
View The Full Conference Recap Here

 
New President Patrick Dennis Thanks Attendees & Speakers
July 31, 2025

ROUNDTABLE NEWS -SER member Patrick Dennis officially took the reins as President for 2025-2026 at the Annual Member Meeting at SER's Expert Conference in Chicago on July 17th-18th. As President-Elect, Patrick was in charge of this year's Agenda. Patrick expressed his gratitude to attendees and  speakers in SER's online Conference Recap: "As President of the Securities Expert Roundtable, I want to extend my sincere thanks to everyone who attended our annual conference. Your presence and active engagement made the event a tremendous success. It was an honor and a pleasure to host the event including an agenda filled with attorneys as outside speakers. I’d also like to express deep appreciation to our panel participants, whose insights and expertise provided valuable, relevant information across a wide range of important topics. And of course, thank you to members of the Conference Committee who planned sessions and moderated panels. Survey feedback has been extremely positive, not only about speakers and topics, but the connections made by networking with fellow experts and guest attorneys. As we heard in one panel, personal connections and referrals are still the top source of expert engagements! Hope to see you all next year in Washington, D.C."  
You can access the full 2025 Recap using this link.

SAVE THE DATE for next year's conference in WASHINGTON, DC on AUGUST 6 & 7!


 
Jesy LeBlanc and Kat Miller Host Virtual Panel on Fixed Income Trade Reporting
July 29, 2025

MEMBER HIGHLIGHT - SER Members Jesy LeBlanc and Kat Miller are hosting a free virtual event on August 13th at 12:00 CST on fixed income trade reporting.  As co-founders of TRADEliance, Jesy and Kat have observed a FINRA enforcement trend in fixed income trade reporting issues. Since the beginning of 2024, the number of enforcement actions brought by FINRA against industry firms exceeds almost any other enforcement topic with more actions continuing to be released. Jesy and Kat will discuss these enforcement trends from both the operational and compliance perspectives, as well as sharing best practices and educational considerations for industry participants. TRADElinace is a consulting firm providing services to Broker Dealer and Investment Adviser firms regarding trading operations and compliance matters. Their series, "Bullet Point Panels", are free virtual panels  for broker dealers and investment advisors on industry hot topics or trends. The sessions are intended to be brief summaries of topics selected from recent enforcement actions or other relevant industry releases. Click here to register for this free event.
 

 
Dr. Pavithra Kumar Leads Second Crypto Litigation Webinar
July 27, 2025

MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar is co-hosting the second webinar in the series on cryptocurrency litigation, Penny Wise and Crypto Foolish: Currencies and the Rise of Crypto-Litigation. Presented with Dr. Timothy Weithers through Advanced Analytical Consulting Group (AACG), the series explores the rapidly evolving intersection of crypto, finance, and the law. The second session, “Who’s Watching the Crypto Bank and What About the Crypto Derivatives? Products, Exchanges, Regulators, Pending Government Legislation and Enforcement Trends,” airs Thursday, August 7th at 2:00 PM EDT. The rise of crypto has spawned services and products from crypto banks to crypto options, creating a range of financial opportunities and risks analogous to those for sovereign currencies. In this session, Dr. Weithers and Dr. Kumar will cover crypto products, from Spot Bitcoin and Ethereum, to Crypto Options and Stable Coins. They'll also discuss new legislation like the GENIUS Act and CLARITY Act, which are shaping the future of crypto oversight and regulation. 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 unpack the evolving world of crypto through a litigation lens.
 
Learn more about the webinar series here.

 
Welcome New Member Dr. MK Campion
July 23, 2025

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


 
Dr. Pavithra Kumar Launches Crypto Litigation Webinar Series
July 1, 2025

MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar is co-hosting a new three-part webinar series on cryptocurrency litigation, titled Penny Wise and Crypto Foolish: Currencies and the Rise of Crypto-Litigation. Presented by Dr. Kumar and Dr. Timothy Weithers through Advanced Analytical Consulting Group (AACG), the series explores the rapidly evolving intersection of crypto, finance, and the law. The first session, "Which One of These Is Not Like the Others? A Primer on Cryptocurrency, Currency, and Money," airs Thursday, July 10 at 2:00 PM EDT. This initial session is designed to demystify the roles of currency, money, and cryptocurrency, and to lay the groundwork for understanding the regulatory and legal landscape driving crypto-related disputes. The series will continue with deep dives into crypto products, exchanges, government enforcement, and litigation trends ranging from fraud and misrepresentation to market manipulation and theft. Dr. Kumar is Principal at AACG and holds a PhD in Finance from the MIT Sloan School of Management. She specializes in applying economic and financial theory to complex litigation matters, including securities class actions, structured finance disputes, and valuation. Her expertise in statistical modeling, econometrics, and damages quantification positions her uniquely to unpack the evolving world of crypto through a litigation lens. Learn more about the webinar series here.


 

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