SER Members to Participate in NYSBA Securities Arbitration 2020 Deep Dive
January 22, 2020
MEMBER HIGHLIGHT - SER Member Ross Tulman, of Trade Investment Analysis Group, will be moderating a panel on March 6th at the New York State Bar Association's "Securities Arbitration 2020 Deep Dive" in New York City. Panelists of the session, "Remedies and Damages", will also include SER member Elizabeth Falk, of Falk Financial Analysis. Ross, a past President of SER and Elizabeth, the current President-Elect, both serve on SER's Board of Directors. Among the many recognizable speakers are FINRA's Richard Berry and Professor Christine Lazaro, Director of the Securities Arbitration Clinic at St. John's University School of Law. For more information on this NYSBA event, including the agenda and registration information, visit their e.
SER Board of Directors Meet in Dallas
January 16, 2020
ROUNDTABLE NEWS - SER's Board of Directors met in Dallas on Saturday, January 11th for its semi-annual board meeting. Directors meet all day, having traveled from across the country at their own expense, to review the past year's initiatives and financial health of the organization. New business included approval of membership and conference fees as well as discussing plans for the new year. Current President, David Keogh, expressed his gratitude to the directors stating "I know it’s not easy to juggle personal and professional commitments to attend the board meeting and your efforts are truly appreciated." Directors are elected for three year terms and can serve up to two consecutive terms. The President's Update will be issued later this month with more details from the meeting.
Recent News from the Arbitration Front-November 2019
December 4, 2019
WHAT ARE THE COURTS (AND ARBITRATORS) THINKING? Contributor: George H. Friedman (George@GFriedmanADR.com) This column contains short blurbs on court cases, awards, and articles of interest that are candidates for coverage in the Securities Arbitration Alert (“SAA”), and the Securities Online Litigation Alert (“SOLA”), publications of the Securities Arbitration Commentator. It offers no analysis or evaluation; items are listed in chrono order. Also, although some items don’t necessarily relate to financial services arbitration, we think they might be of interest to SER members. Readers may click on the links for more information. Click here for the second installment.
Recent News from the Arbitration Front-October 2019
November 1, 2019
WHAT ARE THE COURTS (AND ARBITRATORS) THINKING? Contributor: George H. Friedman (George@GFriedmanADR.com) The Expert's Examiner publishes on a quarterly basis the “Expert Opinions” column, which follows recent items of interest on how courts value, view and utilize testifying experts, how one can better serve the fact-finder and more effectively help the client, and more likely avoid a bad experience. It also publishes “Recent News from the Arbitration Front,” which follows recent items of interest to securities experts and relating to arbitration practice. Items for both columns are drawn from the past quarter's editions of the Securities Arbitration Alert (“SAA”), and the Securities Online Litigation Alert (“SOLA”), publications of the Securities Arbitration Commentator and appear with the permission of SAC's publisher. Going forward, these columns will be compiled by the Securities Arbitration Alert’s new Editor-in-Chief, George H. Friedman. Three months is a long time to wait between columns, so we are introducing a new feature: on a monthly basis we will publish in the “Newsroom” section short blurbs on court cases, awards, and articles of interest that are candidates for possible coverage in SOLA or the SAA. Here is the first installment.
Arbitration Resolution Services Enters into Agreement with CourtCall
October 30, 2019
MEMBER HIGHLIGHT - George Friedman, SER Member, is the current Chair of ARS (Arbitration Resolution Services). George is excited to announce that ARS has recently entered into an agreement with CourtCall, the nation’s leading legal technology provider of remote teleconferencing and video conferencing services. The new alliance will help to expand ARS’ reach in providing the most comprehensive on-line dispute resolution services and platform in the United States. Accordng to the Press Release, the agreement "will allow federal, state, county and municipal courts and businesses across the country the option of sending cases to online arbitration and mediation."
SER Member's Litigation Consulting Firm Receives Award
October 22, 2019
MEMBER HIGHLIGHT - Bob Lawson, President and founder of Barrington Financial Consulting Group, Inc., a securities and litigation consulting firm, was notified this week that they were the recipient of the Minnesota Lawyer / Finance Commerce 2019 Reader Rankings Award for the BEST IN LITIGATION CONSULTING category. "For the past 3 years the readers of Finance & Commerce and Minnesota Lawyer have chosen their most trusted brands and business partners" from past nominations or new submissions. Lawson was an investment fiduciary and Chief Compliance Officer at Barrington Capital Management, Inc. a Registered Investment Advisory firm he started in 1988. Six of the eight current members of Barrington are members of SER.
The 3rd Quarter Issue of The Expert's Examiner is Released
October 11, 2019
The third issue of SER's newsletter, The Expert's Examiner, has been published. The current issue has some changes to editors, with the following members currently serving as contributors: RECENT NEWS FROM THE ARBITRATION FRONT by George H. Friedman; EXPERT OPINIONS: WHAT ARE THE COURTS THINKING? by Richard P. Ryder; SER ACTIVITIES-WHAT'S CIRCLING AT THE ROUNDTABLE? by Elizabeth Falk; HEARD THROUGH THE REGULATORY GRAPEVINE by Carrie Wisniewski; MEMBER ACHIEVEMENTS-BRINGING CREDIT TO THE PROFESSION by Geraldine GG Genco; COMMENT LETTERS, SPEECHES & TESTIMONY by Jerry DeNigris; and STATISTICS, EVENTS & RESOURCES by Patti Koetting. Thus far, all three issues have enjoyed an average "open rate" of 81.5% and a "click rate" of 49.36%, far exceeding average rates of 14.79% and 6.99% for all industries and 16.78% and 5.32% for legal services according to data gathered by Constant Contacts last quarter covering 200 million emails sent. Non SER members may also subscribe to the quarterly issue by clicking the "Join Email" button in the upper righthand corner,or the "Subscribe" button at the bottom of the newsletter. Past issues can be found on SER's homepage.
SER Member Presents To QWAFAFEW Members in NYC
October 5, 2019
MEMBER HIGHLIGHT - SER Associate Member Gontran de Quillacq recently presented at a seminar on September 24, 2019, a case analysis “Defense of a Loss on SVXY Options”, for QWAFAFEW Members in NYC. For those Members who don’t recognize the organization, it is a society centered around quantitative investments and the pedagogy of this segment of the financial industry. Its acronym stands for Quantitative Work Alliance for Applied Finance, Education and Wisdom. On December 10th, Gontran will be making the same presentation to FENG Asset Management. FENG is the Financial Executive Networking Group, a 50,000-strong network of financial executives (CFOs, Controllers, CIOs). This association has a “specal interest group” for executives working in the asset management.
SER Member Launches New Compliance Service for Independent BDs and RIAs
September 17, 2019
MEMBER HIGHLIGHT - Sander Ressler and his new compliance outsourcing service, Essential Edge, were recently featured in Financial Advisor Magazine in a story titled, "For a Flat Fee, This Florida Firm will Inspect Broker-Dealer Branch Offices." The article goes on to explain the demand that exists among independent BDs and RIAs, who have "far-flung branch offices" under OSJ supervision, in staying current with and assuring compliance with the ever-changing regulatory environment. Enter Essential Edge Compliance Outsourcing Services, LLC, SER Member Ressler's new company, launched with partner Beth C. Barak, who herself is an expert in client relationship management, project management, program start-ups and communications. According to the FAM article, "Essential Edge offers a solution to [potential supervisory] conflict[s] of interest, offering compliance experts for hire with a flat fee to cover each step of the branch inspection process."
SER Member Moves to Editorial Helm at Securities Arbitration Commentator
September 16, 2019
MEMBER HIGHLIGHT - George H. Friedman of George H. Friedman Consulting LLC has worn many hats in his extensive career in the field of dispute resolution. His firm's Website features him, first, as Dispute Resolution Expert, then as Arbitrator, Mediator, ADR Executive, Fordham Law Professor and Author. In July 2019, legal publisher Securities Arbitration Commentator, Inc. (SAC) announced that Mr. Friedman would officially assume the post of Editor-in-Chief of SAC's weekly email service, the Securities Arbitration Alert (aka SAA or Arb Alert). He will maintain his existing affiliations (including being an SER Member) and pursuits, but will hereafter apply his wide-ranging knowledge of dispute resolution to maintaining SAC's Arb Alert as an indispensable information source for securities arbitration practitioners. At the same time -- and over time -- we can expect to see George advancing the SAA's scope of coverage and deepening its descriptive detail.
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