Meet Our Experts
Mason Alan Dinehart III
Owner and founder, FEND - Financial Education Network Development
310 641 0377

Mr. Dinehart is a FINRA Arbitrator and expert with nearly 4 decades of industry experience, including a branch...

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

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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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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....

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Frank A Sullivan
Litigation Services
Jamestown, Ri
401 423-1618

Suitability, Supervision, Employment Disputes, Selling Away,1031 Exchanges, Expungement, Portfolio P/L Deriviatives,Senior...

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

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

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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,...

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Cynthia L King
C L King & Associates, LLC

Suitability, Supervision, Manipulation, Churning, Underwriting and disclosure issues, Securities registration issues,...

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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.