A Sample of Our Experts
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Thomas Fehn Esq,
Fields, Fehn & Sherwin
Los Angeles, Ca

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Elizabeth Falk
Falk Financial Analysis

Specialty is calculation of damages and custom exhibit design.

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James L. Rothenberg
Sole Practitioner, Law Office of James L. Rothenberg .
Holland, PA

Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities Laws, Mutual Funds, Investment Advisors, Statute of Limitations,...

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Gerald A. Guild
Guild Associates
Lyme, CT

Fixed Income, Margin, Asset Allocation, Portfolio Strategy. Suitability, Damages, Branch Management and Supervision,Product Management, Trading including Execution, Mark-ups...

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David James Keogh
Consultant/Expert Witness, DJK Consulting LLC
Green Brook, NJ

Compliance Audits, Churning, Failure to Supervise, Misrepresentation, Mutual Funds, Options, Restricted Securities, Sales Practice Violations, Securities, Fraud, Branch Supervision,...

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John J. Duval Sr.

Manchester, Me

ANNUITIES. LIFE INSURANCE. SUITABILITY. BRANCH SUPERVISION. Retired from Merrill Lynch. Johnís regulatory work has included contract work for the Enforcement Division...

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Mason Alan Dinehart III
Owner and founder, FEND - Financial Education Network Development

Mr. Dinehart is a FINRA Arbitrator and expert with nearly 4 decades of industry experience, including a branch manager for 3† firms. He has testified in over 300 arbitrations...

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Bruce S. Foerster
President, South Beach Capital Markets
Miami, FL

I. Investment Banking1. Underwritten public offerings: solicitation; due diligence, transparency & disclosure; commitment committee, new issue marketing & suitability committee...

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Who We Are


Securities Experts Roundtable members provide expert consulting, testimony, and other services in securities litigation and FINRA and AAA arbitration. SER facilitates the sharing of ideas and information concerning issues common to members by conducting conferences, seminars, and meetings to provide continuing education and assisting members in improving their professional conduct, performance, practice, and expertise.

Our experts are widely used to provide insight in the analysis of investments, documents, securities law, as well as utilized in speaking engagements and training. SER was formed in 1993 and has a nationwide presence of individuals with a wide depth and breadth of knowledge in the securities industry.

To find an expert that fits your needs, use our "Find an Expert" search page. Use the contact information provided in each member's profile to contact that member directly.  Our securities experts include expertise in supervision, suitability, margin, damages, options and portfolio analysis. 

SER encourages the pro bono participation of our members in Legal Clinics, several of which are affiliated with law schools, by teaching, consulting, and providing expert testimonial services.

In addition, we support and improve the process of securities dispute resolution through participation in conferences, committees, and meetings of other organizations involved in the process of securities dispute resolution.

Select the link to see SER's position on:

 



The Securities Experts' Roundtable provides a password protected directory on this website for each member who wishes to provide contact information and a business profile. Individual SER members are responsible for all information contained on their personal profile. Some members have chosen to provide links to websites not maintained by SER. SER does not endorse any web sites, their sponsors, or any of the policies, activities, products, or services offered on the site or by any advertiser on the site.

Securities Experts' Roundtable, Inc. is a Professional Business League 501(c)6 non-profit corporation.