A Sample of Our Experts
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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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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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Ross Tulman
TIA Group

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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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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

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Gerald A. Guild
Guild Associates
Lyme, CT

Fixed Income, Margin, Asset Allocation, Portfolio Strategy. Suitability, Damages, Branch Management and Supervision,Product Management, Trading including Execution, Mark-ups...

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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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John J. Duval Sr.

Manchester, Me

ANNUITIES. LIFE INSURANCE. SUITABILITY. BRANCH SUPERVISION. Retired from Merrill Lynch. Johnís regulatory work has included contract work for the Enforcement Division...

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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.