Established in 1993, and incorporated in 2005 as an non-profit 501c(6), SER is an expert witness member organization that provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.
Members are consulting and testifying expert witnesses that have solid academic credentials and career accomplishments as Financial and Securities Industry Professionals, Former Securities Regulators, Attorneys and CPAs. They exchange ideas, experience, knowledge and approaches to the myriad of issues encountered in our profession and cross-refer cases at no cost. Members provide services individually and not under SER's umbrella. They are retained on behalf of Banks, Broker-Dealers, RIAs, Registered Reps and Investment Advisors, Companies, Professional Groups, Foundations, Directors, Families and Individuals.
SER encourages its members to adopt SER Best Practices of ethics and integrity, and its motto - "Seek and Speak the Truth" - is our behavioral touchstone. An annual summer member conference, a dedicated web site, ongoing member education and networking are the primary tools SER employs to maintain its premier position in the expert witness field. Membership in SER offers a unique opportunity for professional development, peer collaboration, and industry insights—different and complementary to expert referral groups, which many of our members are also connected.
SER is a resource for attorneys seeking neutral Arbitrators, Mediators, and Consulting and Testifying Experts to assist in resolving disputes. Experts assist attorneys at all stages of litigation from defining the issues at hand, filing or answering the Statement of Claim, with direct settlement negotiations, at mediation, before Regulators, in Federal and State Court and Arbitration. Attorneys can search for, contact and engage SER experts directly on our website. Members provide services individually and not under SER's umbrella. SER takes no part in the expert's fee or engagements. (If you prefer to send a message out to all experts, contact Patricia Koetting @ controller@securitiesexperts.org for assistance.)
SER's two-day annual summer member conference presents professional education programs with a combination of member and prominent outside speakers and evening social events offering camaraderie and networking opportunities. Since 2019, SER publishes a periodic newsletter, The Expert's Examiner, that covers items of interest in the industry as well as within the organization. Past issues can be accessed on the Newsletter tab and non-members may also subscribe. In 2020, SER began broadcasting a series of live and recorded webcasts covering current issues, presented by members and outside speakers. Webcasts are a member-only benefit and past broadcasts can be accessed in the Library.
SER encourages member pro bono participation in Securities Arbitration Clinics (several of which have a law school affiliation) through teaching, consulting, and expert testimonial services. Members also support the securities dispute resolution process by attending relevant conferences and meetings and by serving on relevant committees of organizations involved in securities dispute resolution.
SER has a demonstrated history of leadership in securities arbitration. In 2004 a founding member co-authored work on the non-sequestration of experts at hearings which led to revision of the opening script. Over the years, SER identifies instances in which they can collectively improve the securities dispute resolution process. See links here:
