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Gerry Guild Updates Chart of US Economic Statistics
June 19, 2023

MEMBER HIGHLIGHT - SER member Gerry Guild has updated his chart of US Economic Statistics for the years 2021 and 2022 for SER's library. For several years Mr. Guild has provided members this overall summary of statistics that include the dollars of outstanding, issuance and trading volume of the various fixed income markets and the equities market. You can access these charts here (2021 and 2022) or in SER's Library under Notable Cases & Other Investment Related Information.


 
Colleen Diles to Speak at the 2023 NSCP National Conference
May 21, 2023

MEMBER HIGHLIGHT - SER member Colleen Diles will be a panelist at the 2023 NSCP National Conference in October. Her intermediate session, "BD LAB: Compliance Testing and Surveillance: Regulatory Expectations", explores the development of effective frameworks for monitoring, testing, and surveillance; deployment of a testing program; utilization of testing results to inform compliance priorities and remediation efforts; and factors for continually monitoring the effectiveness of testing and surveillance practices. For more information on this session, and other details on the event, visit the NSCP website.


 
Margining & Liquidation at US Broker-Dealers
May 15, 2023

ROUNDTABLE NEWS - Many thanks to members Andrew Auslander and Paul Carroll for their webcast on "Margining and Liquidations at U.S. Broker Dealers." The broadcast covered margining requirements including the house requirement, Regulation T and portfolio margining; the risk management view of portfolio margin; the origin and implications of the margin agreement; and liquidation of accounts. Andrew is a financial consultant and expert witness who has more than a decade of experience in secured financing including repo trading and securities lending. He has provided expert consulting in risk management, derivatives and suitability cases and has provided expert advice on margin and liquidation of brokerage accounts. Paul has over 35 years of experience in the Financial Services Industry, primarily in financial services operational control processes and supervisory best practices inclusive of trade capture, settlement, custody and margin lending. Paul served as Vice President in Global Operations for Goldman Sachs & Co., Limited Partner at Spear Leeds & Kellogg, Past-President of SIFMA’s Credit and Margin Society and former member of the SEC/FINRA Portfolio Margin Sub-Committee. The Webcast Committee is proud to broadcast these events to SER members. Members can find the recording of this broadcast in our Library. 


 
Registration for 2023 Annual Conference is Open
May 8, 2023


 


George Friedman Covers Rick Ryder's Critique of SIEPR Research Paper
May 5, 2023

MEMBER HIGHLIGHT - SER member George Friedman, Editor in Chief of the Securities Arbitration Alert (SAA), reported in the March 23rd issue, on a newly-released research paper, Tipping the Scales: Balancing Consumer Arbitration Cases, by the Stanford Institute for Economic Policy Research (“SIEPR”). The paper recommends that list selection be eliminated in arbitration as consumer-unfriendly. According to the SIEPR Study, “Industry-friendly arbitrators are 50 percent more likely to be chosen from the arbitrator pool than their consumer-friendly counterparts because securities firms are sophisticated at eliminating consumer-friendly arbitrators.” Recently, the SAA blog published a featured article by SER member Rick Ryder, with his "critique of this statistical work." Rick has deep knowledge of the history of the arbitrator selection process, being the Founder and President of the Securities Arbitration Commentator, Inc. (SAC), and owns ARBchek, an online facility for searching Arbitrators' Award histories. You can read his thoughtful analysis and conclusions on SAA's blog here.


 
Colleen Diles Joins SER
May 1, 2023


 


James J. Karabas Joins SER
April 10, 2023


 


SER Publishes 2023Q1 "The Expert's Examiner"
April 3, 2023

ROUNDTABLE NEWS - For this issue and all past issues, visit our Newsletter tab.


 
James Kyprios and William Purcell Co-Author Article on the Banking Crisis
March 30, 2023

MEMBER HIGHLIGHT - Members James A. Kyprios and William Purcell co-authored an article titled "The ABCs of the Bank Crisis". As indicated by the title, the article explores the history leading up to the current banking environment, and specifically at the Silicon Valley Bank situation. The authors review the Government's response and consider the possible effects on the larger economy. Mr. Kyprios is an expert in domestic and international banking with an emphasis on senior bank management, lending, due diligence and credit analysis. Mr. Purcell is an expert in all aspects of investment banking including underwriting and trading of securities, M&A, due diligence, adequacy of disclosures, valuations, fairness opinions and fiduciary duties.The article can be access here, and is also in SER Library under the Articles & Podcast section.


 
The Best of the Best Practice Management & Business Development Ideas
March 3, 2023

ROUNDTABLE NEWS - SER is proud to present "Best of the Best Practice Management & Business Development Ideas" on March 7th at 1:00pm ET. Moderated by Practice Management Chair Bob Lawson, the panel includes Committee members Patrick Dennis, Mason Dinehart, Jack Herrmann and Keith Loveland. Learn how these experienced experts have started, built, and are operating thriving securities expert witness practices in 2023. Members can register here for this member-only webcast. Potential members can inquire about a one time attendance exception to experience some of the best benefits of SER membership. Contact Patricia Koetting at controller@securitiesexpert.org.


 

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