A Sample of Our Experts
Vivian Velazquez
V&V Consulting Group, LLC
Miami Lakes, FL

Claims against: Banks, Broker-Dealers, Investment Advisers, Hedge Funds, Insurance Companies Areas of expertise: Suitability, Failure to Supervise, Breach of Fiduciary...

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

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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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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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Robert W. Doty, Esq.
President and Proprietor, AGFS
Annapolis, MD

Municipal securities; types of municipal securities issues; risks; application of federal and state securities laws and common law; due diligence and disclosure; fiduciary...

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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.