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.
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.
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!
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.
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ROUNDTABLE NEWS - For the first time ever, SER broadcast a conference session live to the public via Zoom at our Annual Conference in Boston this past September. We are pleased that close to 100 attendees registered for remote access, mainly securities attorneys, while SER members in attendance experienced the live version. A huge thank you is extended to SER member Jeffery Schaff for moderating and to our esteemed panel, Christine Lazaro, Stephen Bouchard, Peter Tepley and James Wrona, for sharing their in-depth knowledge on the current status and future expectations of Reg BI. If you missed it, you can access speaker materials and the recording below.
Access Reg BI Recording Here (Use Passcode FQ+L+!33 to view recording.)
Access Reg BI Speaking Materials Here
View the Full Conference Recap Here
ROUNDTABLE NEWS - Much appreciation to Peter Bulger, Kerry Campbell, Paul Carroll, Jerry DeNigris and Gordon Yale, for donating their time and effort over the years serving on the Board of Directors. Paul Carroll is a Past President from 2021-2022. Gordon Yale is a Past President from 2010-2011, and again from 2018-2019. Directors are also selected to serve as the Chairs of the various Committees that provide the many benefits of SER membership. Thank you for your service!
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