Meet Our Experts
John J. Duval Sr.

Manchester, Me

ANNUITIES. SUPERVISION. Johnís regulatory work has included contract work for the Enforcement Division of the...

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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,...

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

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Jeffery E. Schaff
Ardor Fiduciary Services, Ltd.
Northfield, Il

Brokerage sales and supervision Investment fiduciary duties of Investment advisors and trustees Analysis of complex...

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James L. Rothenberg
Sole Practitioner, Law Office of James L. Rothenberg .
Holland, PA
215 579-2370

Manipulation, Fraud, Suitability, Supervision, Breach of Fiduciary Duty, Negligence, Federal and State Securities...

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Thomas A. Franko
Law Office of Thomas A Franko
Chatham, NJ

Clearing, Operations, Risk, Trading, Securities Regulation, Supervision, Prime Brokerage

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Elizabeth Falk
Falk Financial Analysis

Specialty is calculation of damages and custom exhibit design.

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Richard Leisner
Attorney - Shareholder, Trenam Kemker
Tampa, FL
813 227 7461

Public and private securities offerings (IPOs, Regulation D, etc.) Broker dealer private offering responsibilities Due...

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2014 Annual Conference Announced
San Francisco
Marines' Memorial
Club & Hotel
Aug 8th – 9th

Click for details

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:


Letter from the President

Tuesday May 6, 2014.
Subject: Annual Conference - Save the Dates August 8th and 9th.

I am very excited that the Marines Memorial Club and Hotel in downtown San Francisco on August 8th and 9th will be the site of SER's 2014 Annual Conference!  Complete details are available under the Conference Tab in the top menu bar under "Current Conference."

Board members are reminded to arrive on August 7 for our Finance Committee Meeting and Board Dinner.

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.