A Sample of Our Experts
Henry R Ferguson, CAMS
President, HRFerguson Financial Consultants LLC
Boca Raton, FL

Alternative Investments, Derivatives, Anti-Money Laundering (CAMS), Identity Theft, Securities Fraud, Ponzi Schemes, Suitability, Damages Options

Read My Profile

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,...

Read My Profile

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.

Read My Profile

Wayne Klein
Principal, Klein & Associates, PLLC
Salt Lake CIty, UT

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

Read My Profile

Thomas Fehn Esq,
Fields, Fehn & Sherwin
Los Angeles, Ca

Read My Profile

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...

Read My Profile

John J. Duval Jr.
Principal, Accelerant
New York, NY

Employment Accelerant |Principal | 2012 – Present ORIGINAL forensic analysis + visualization LLC (formerly John Duval Associates LLC) | Managing Member | 2004 – 2012 Heterodox...

Read My Profile

David Tilkin
President, Tilkin Group
Hingham, MA

David has significant experience as a testifying expert witness and has testified at FINRA, JAMS, AAA and SEC proceedings. David has represented both firms and investors....

Read My Profile

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.