A Sample of Our Experts
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Wayne Klein
Principal, Klein & Associates, PLLC
Salt Lake CIty, UT

Regulatory actions Ponzi schemes Fraud Misrepresentations and omissions Forensic accounting Commodities regulation

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Lester T Brol CFA
President, Brol Capital Management
Huntsville, AL

Portfolio Management, Equities / Index / ETF, Trading / Trading practices, Best Execution, Asset Allocation, Derivatives, Alternative Investments, Options Option Strategies, Suitability, Damages, RIA...

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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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Peter J Pfeffer
Partner, Walsh, Pfeffer & Co
Port Washington, WI

Commodities Futures, Futures Options, Securities, Stock Options, Monetized Collars & Prepaid Forwards, Bonds, Annuities, Mutual Funds, Churning, Suitability, Portfolio Analysis,...

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Robert W Lowry
President, RL Consulting Services Inc
Leesburg, VA

Suitability Supervision Selling Away Market Manipulation Due Diligence Best Execution Churning Clearing Firm Liability

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

Clearing, prime brokerage, supervision and compliance, complex trading questions, operations, industry practices and standards, hedge funds.

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Gordon Yale
Yale, LLC

Due diligence, Ponzi schemes, adequacy of disclosure, fraudulent financial reporting, professional negligence, damages real estate investments, non-traded REITs,bonds, tax-exempt...

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Richard P. Ryder
President, Securities Arbitration Commentator, Inc.
Maplewood, NJ

arbitration law, FAA, Federal Arbitration Act, FINRA securities arbitration procedures, Securities Arbitration Award statistics, trends and quantitative analyses, arbitrator...

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Who We Are


The Securities Experts Roundtable ("SER") is a group of professionals with significant experience as testifying and consulting experts in securities, business and investment-related litigation. SER traces its founding to a 1993 gathering of a small group of expert witnesses who knew and enjoyed each other's company and found benefit sharing experiences and expertise. Founder members literally held early meetings seated at a large round table in the hotel where they gathered.

Today, SER has some 90+ members from 27 states across the country and conducts its business exempt from federal income tax under Section 501(c) (6) of the Internal Revenue Code. Our members have impressive academic credentials and career accomplishments in accounting; asset and wealth management; business leadership and corporate governance; corporate finance and investment banking; the law; securites sales; trading and research and academe. Members, acting induvidually and not under the SER umbrella, provide expert witness services such as production of formal expert reports; testimonial work in federal and state courts, arbitration and mediation (AAA, FINRA, JAMS etc.) and SEC proceedings and in non-testimonial consultation.

Our two-day annual membership meeting, traditionally held in August, offers a series of professional education programs with prominent outside speakers and events offering camaraderie and networking opportunites - all in very pleasant surroundings.

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.