Bar Association Events Great Place for SER Members to Meet, Greet, Participate and Learn
March 10, 2020
OUTSIDE NEWS - In the midst of the recent market volatility, at least one seminar went forward. While the March 6 attendees at the New York State Bar Association's semi-triannual (once every year and a half) seminar on securities arbitration were greeting each other with fist bumps, elbow bumps, bows and curtsies, due to COVID-19 precautions, they came out in record numbers this year. The Program, sponsored by NYSBA and dubbed, "Securities Arbitration 2020: Deep Dive," by co-moderators David E. Robbins, and James D. Yellen, featured a truly superb and diverse faculty and ably covered the news and developments of the day. Attending the standing -room-only event were, perhaps, a dozen SER Members and several of them, including President-Elect Elizabeth Falk, Past-Presidents Stan Meyerson and Ross Tulman, joined the faculty of speakers. Elizabeth and Stan formed half the Panel discussing "Remedies and Damages" and Ross moderated that very same Panel. This was an inexpensive, yet popular, conference that offered SER experts an excellent source of knowledge and learning, together with quality networking opportunities. Consider checking out local Bar Association and similar events in your locality.
SER Issues First Press Release
March 9, 2020
ROUNDTABLE NEWS - In effort to gain further awareness of the Securities Experts Roundtable, the Public Relations Committee issued the organization's first Press Release on March 6th, announcing the dates of this year's conference. You can see the press release here. PR Chair Carrie Wisniewski reports the release has been picked up by 121 news agencies with a total potential audience of 83 million.
SER Members George Friedman and Rick Ryder Jointly Author Blog Post
March 9, 2020
MEMBER HIGHLIGHT - “WHAT’S PAST IS PROLOGUE” – ALL OVER AGAIN. WHAT’S AHEAD FOR ARBITRATION FILINGS IN THE WAKE OF THE MARKET’S RECENT VOLATILITY. The crashing and recovering capital markets in the wake of the worldwide Coronavirus outbreak caused the SER’s George H. Friedman and Rick Ryder to reflect on what this might mean for FINRA’s arbitration caseload. It wasn’t that hard; dusting off and updating a 2015 blog post was all that was needed. Their new blog post focuses on recent capital market gyrations and volatility, and what these events mean for securities arbitration case filings and the participants. Readers are encouraged to visit our blog, but we share here the key points: Arbitration Filings Run Countercyclical to Market Performance. People Don’t Fight So Much When Times are Good. More Arbitration Filings Ahead? What Kinds of Cases? Frauds and Scams. Time for Another Look at Online ADR?
Podcast on Anti-Money Laundering Produced by SER Member
January 29, 2020
MEMBER HIGHLIGHT - Anti-Money Laundering has become a hot topic in the investment industry over the past few years. SER member John Foster, President/CEO of Bedford and Main Financial Consulting, Inc., has produced a new podcast titled "A Primer on Anti-Money Laundering (AML) for Broker-Dealers." The podcast is available on John's member profile or directly here. We have also added it to our SER Library. John created the podcast at the suggestion of current President Dave Keogh. When asked about the production effort John replied "I truly didn’t appreciate how much more a podcast took to develop than a normal article. It was actually much more work than I anticipated, but I am happy to have accomplished it."
SER Members Participate in SAC Editorial Board Dinner
January 24, 2020
MEMBER HIGHLIGHT - SER members Roger Deitz, George Friedman, Rick Ryder, and Ross Tulman attended the Securities Arbitration Commentator Board of Editors dinner meeting January 22 in New York City, hosted by Messrs. Ryder and Friedman. Among other things, the group discussed the ongoing transition of the online weekly Securities Arbitration Alert, now being edited by Mr. Friedman, to a web-based format. As the name indicates, the Board of Editors functions in an advisory capacity to the SAC Publishers, serving as the publication's “eyes and ears.” Members also contribute articles and recruit articles from others.
SER Member Selected by the CFP Board of Standards as Hearing Panelist
January 24, 2020
MEMBER HIGHLIGHT - SER member Alan J. Besnoff, CFP, ChFC, CLU, of Securities Expert Witness & Litigation Support LLC, has been selected by the Certified Financial Planner (CFP) Board of Standards to serve as a Hearing Panelist. As a Hearing Panelist, Mr. Besnoff works with and assists the Disciplinary and Ethics Commission in reviewing and taking appropriate action with respect to alleged violations of or non-compliance with CFP Board's Code of Ethics, Rules of Conduct, and Financial Planning Practice Standards, as well as conduct pursuant to the Fitness Standards for Candidates and Professionals Eligible for Reinstatement. Alan also serves on SER's Board of Directors and is the current Membership Chair. His committee has brought in manynew members in his short tenure. If you know an expert you think would be a good candidate for SER membership, please reach out to Alan for assistance.
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