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Rick Ryder Authored a Recent Article Analyzing FINRA's 2023 Dispute Resolution Statistics
March 20, 2024

MEMBER HIGHLIGHT - SER member Rick Ryder authored a recent article analyzing FINRA's 2023 Dispute Resolution Statistics that were released in late January, "with a view to making observations about the process, the forum, and future caseloads." The article, "Seven Things You Should Know About the 2023 FINRA Stats Report", can be found on the Securities Arbitration Alert's ("SAA") blog. George Friedman, Editor in Chief of SAA and SER member, describes the article as "a detailed, yet succinct and thought-provoking analysis." SAA focuses exclusively on the practice and process of securities and commodities arbitration. Rick is an SAA Editorial Advisory Board member and the Founder and President of the Securities Arbitration Commentator, Inc. (“SAC”)


 
Andrew Auslander Re-elected to Board of Directors of the CFA Society New York
March 8, 2024

MEMBER HIGHLIGHT -  SER member Andrew Auslander has been re-elected to serve on the Board of Directors of the CFA Society New York for a three year term. For the past three years, he served as the Treasurer of the Board of Directors. Andrew has been a member of CFA Society New York since 2005. He is also the Co-Chair of the society's Value Investing Group, whose focus is organizing events such as the bi-monthly value investment round-table, the annual Ben Graham conference and the value investing workshop. Highlights of the last couple of years for Andrew have been leading the negotiating of a 10-year lease for the society, updating the Investment Policy Statement and hiring an investment advisor. The Society encourages the pursuit of high standards of ethics and professional conduct through the exchange of information with active programs of leadership development, career assistance, and continuing education. Congratulations Andrew!

 


 
Jim Kyprios Contributes Article on Evaluating Extensions of Credit to SER's Library
February 16, 2024

MEMBER HIGHLIGHT - SER member Jim Kyprios submitted an article to the SER Library on his methodology for evaluating extensions of credit. The idea came as a result of the recent expansion in the interpretation of the Federal Rules of Evidence 702, giving a judge not only the discretion to decide whether an expert is qualified, but also to decide whether the methodology used is acceptable. In writing down the methodology, Jim feels the expert can be more prepared to answer the question fully and succinctly. Jim gives a special thanks to SER member Bill Purcell and Gerry Goldhaber, founder and head of the New York Regional Expert Witness Association, for their encouragement and assistance in this projectThe article is attached here and is in the SER Library.


 
Bob Lawson will be speaking at the SEAK 31st Annual National Expert Witness Conference
February 13, 2024

MEMBER HIGHLIGHT - SER member Bob Lawson will be speaking at SEAK's annual conference in Clearwater, FL on April 28th. The session, "How to Market and Expand Your Expert Witness Practice: What Works", will cover branding and business development including making yourself more attractive to law firms and government agencies, focusing your area(s) of expertise, building an effective website, search engine optimization, getting help/leveraging yourself, lead mining on legal databases, white papers, video clips, direct outreach, a comprehensive internet strategy, and speaking. Bob is a current Board Member and Chair of the Practice Management Committee. He is President and Chief Compliance Officer of Barrington Capital Management, Inc. and also serves as President and Managing Principal of Barrington Financial Consulting Group, Inc. SEAK is an ACCME accredited continuing education, consulting and business development firm that trains expert witnesses of all specialties and areas of expertise. 


 
Catherine Mustico Earned the Advanced CAMS-Financial Crimes Investigations Certification
February 1, 2024

MEMBER HIGHLIGHT - SER member Catherine Mustico has taken and passed a new AML certification, now holding the Advanced CAMS-Financial Crimes Investigations (CAMS-FCI) Certification. According to ACAMS (Association of Certified Anti-Money Laundering Specialists), the accreditation is "a leading certification for anti-financial crime (AFC) investigators" and "equips professionals with the knowledge to conduct complex financial crimes investigations that involve multifaceted money laundering schemes and advanced typologies." Ms. Mustico adds this credential to her currently held CAMS certificate and the CFE (Certified Fraud Examiner). A former Associate Principal Examiner with the FINRA District Offices in DC and New York, she is retained as an expert witness and compliance consultant for disputes involving FINRA Broker-Dealers, Investment Advisers, Banking, and sub-specializes in securities fraud, financial crime, and Anti-Money Laundering.


 
Bruce Foerster and Charles Bennett Complete the 2024 Supplement of the Capital Markets Handbook
January 25, 2024

MEMBER HIGHLIGHT - SER Members Bruce Foerster and Charles Bennett, together with Jeffrey Posner, are authors of the Capital Markets Handbook, published by Wolters Kluwer. The Handbook is a primer on the mechanics and conduct of the entire underwritten public offering process. Bruce conceived the Handbook in 1999 and it has been in publication ever since, the first 10 years of which, under the auspices of the Securities Industry Association (n/k/a SIFMA). The 2024 Supplement to the Seventh Edition was released January 2, 2024. The Handbook is available online from Wolters Kluwer.


 
How to Market and Build a Thriving Securities Expert Witness Practice
January 20, 2024

ROUNDTABLE NEWS - SER's Practice Management Committee hosted a member only webcast on January 18th. "How to Market and Build a Thriving Securities Expert Witness Practice" provided advice on branding, business development, and how to build a successful and profitable Expert Witness practice. Topics covered included: making yourself more attractive to law firms and government agencies; focusing your area(s) of expertise; building an effective website; video clips; search engine optimization; white papers; avoiding disqualification; networking and much more. Committee members include Chair Bob Lawson, Co-Chair Keith Loveland, Mason Dinehart, Jack Herrmann, James Karabas and Stuart Rosenthal. Make sure to keep posted on upcoming events by visiting our Upcoming Events!


 
Alan Besnoff Served as Speaker and Panelist at the PIABA Annual Meeting and Securities Law Seminar
January 17, 2024

MEMBER HIGHLIGHT - Alan J. Besnoff, CFP, ChFC, CLU was a Speaker and Panelist on the topic of: “CFP Standards; Case Implications When Respondent is a CFP Professional” at the October, 2023 PIABA Annual Meeting and Securities Law Seminar. Mr. Besnoff addressed what distinguishes CFP Professionals from other Financial Advisors, the CFP Board’s Code of Ethics and Standards of Conduct, and explained what duties are defined by the CFP Board Standards, and when those duties are required. Mr. Besnoff also described the process by which the CFP Board enforces its Code and Standards, and explained how allegations of misconduct (violations of the Code of Ethics and Standards) are heard by Hearing Panels consisting of Commissioners who serve on the Disciplinary and Ethics Commission. Alan Besnoff is currently serving as Commissioner, Disciplinary and Ethics Commission, Certified Financial Planner (CFP) Board of Standards.


 
SER Publishes Next Issue of The Experts Examiner
January 7, 2024

 

Click on the image to access the full newsletter!


 
Tom Selman is a Featured Speaker in an Upcoming Webinar
December 7, 2023


See event details HERE
 


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