A Sample of Our Experts
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Frank A Sullivan
Litigation Services
Jamestown, Ri

Suitability, Supervision, Employment Disputes, Selling Away,1031 Exchanges, Expungement, Portfolio P/L Deriviatives,Senior Citizen Issues, Retirement Plans,Conflicts of Inerest,...

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Stuart Ober
President, Securities Investigations, Inc.
Woodstock, NY

Due Diligence, Fiduciary Standard of Care, Suitability, Selling Away, Private Placements, Ponzi Schemes, Investment Adviser and Broker/Dealer Issues, Real Estate, Oil and...

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Elizabeth Falk
Falk Financial Analysis

Specialty is calculation of damages and custom exhibit design.

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Paul Carroll
Vice President, Thornapple Associates Inc.
Summit , NJ

Prime Brokerage, Portfolio Margin, Margin, SMA, TIMS, SPAN, risk management, operations services, trade capture, trade routing, OMS, central counter party clearance, settlement,...

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Richard Leisner
Attorney - Shareholder, Trenam Kemker
Tampa, FL

Public and private securities offerings (IPOs, Regulation D, etc.) Broker dealer private offering responsibilities Due diligence Securities resales (Rule 144, etc.) M&A...

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George H. Friedman
Principal, George H. Friedman Consulting, LLC
Teaneck, NJ

Arbitration, Mediation, Dispute Resolution, FINRA Arbitration, FINRA Mediation, Arbitrator Selection, Law School Teaching

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Ray Aronson
Litigation and Arbitration Consultant, Raymond L. Aronson Consultant
Palm Beach Gardens, FL

I am available as a litigation consultant and expert witness specializing in complex broker dealer securities issues, supervision, clearing, prime brokerage, hedge fund and...

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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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Who We Are


Securities Experts' Roundtable, Inc.'s 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.