A Sample of Our Experts
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Robert E Graham
Founder, Robert E Graham Consulting

FINRA Arbitrator and Securities expert for Wealth Management, Institutional Equity and Fixed Income Sales and Trading, Options and Cash Management Unauthorized Trading, Insider...

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Craig Murray
President, CDM Financial, Inc.

Profit & Loss Preparations Asset Consolidation Reporting Financial Modeling Damage Calculations Corporate Financial and Operations Modeling Building

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Ross Tulman
TIA Group

Broker Dealer cases - liability and damage issues;Investment Advisor cases - liability and damage issues;Private Wealth Management cases - liability and damage issues.

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

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

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Peter E Bulger
Front Street Consulting, Inc.

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Douglas J. Schulz
President, Invest Securities Consulting Inc.

Unauthorized trading, Margin, Suitability, Supervision, Compliance, FINRA and SEC Regulations, Online- Internet Trading, Options, Stocks, Bonds, Mutual funds, Limited Partnerships,...

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Ronald E Heakins
President, OakTree Investment Advisors

churning, unauthorized trading, suitability, risk analysis, supervision, variable annuities, margin, options, modeling portfolios for damages, sales practice violations, selling...

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Stuart Ober
President, Securities Investigations, Inc.

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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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 table in the hotel where they gathered.

Today, SER has members all 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; securities sales; trading and research and academe. Members, acting individually 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 opportunities - 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.

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