A Sample of Our Experts
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Robert W Lowry
President, RL Consulting Services Inc

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

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Wayne Klein
Principal, Klein & Associates, PLLC

Regulatory actions Ponzi schemes Fraud Misrepresentations and omissions Forensic accounting Commodities regulation

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Theodore E. Affleck, CLU
Principal, Theodore E. Affleck, CLU & Associates, LLC

Variable and Fixed life insurance products (sales practices, illustrations, policy performance, replacements, disclosures, design features, internal costs, in-force policy analysis)

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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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Brian Lenart
CEO, BDL Compliance Consulting

I have had extensive experience with expert witness engagements and testimony having been involved in numerous cases concerning a wide array of securities industry issues...

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John J. Duval Sr.

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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Cynthia L King
C L King & Associates, LLC

Suitability, Supervision, Manipulation, Churning, Underwriting and disclosure issues, Securities registration issues, Fraud and misrepresentations, Duties of a broker, Duties...

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Robert N Oram
Director of Securities Industry Practice, THG Consultants

Branch management, registered representative and registered investment adviser supervision, compliance, suitability, excessive trading, excessive commissions, margin, disclosure...

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Who We Are

 

Mission Statement

SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.

History

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 began as a 1992 gathering of eight experts who knew each other and found sharing their experiences and expertise beneficial.  Early meetings set the stage for our annual member conference.  Today SER conducts its business exempt from federal income tax under Section 501(c) (6) of the Internal Revenue Code.

Membership

Members span the United States and have solid academic credentials and career accomplishments in accounting; asset/wealth management; business leadership and corporate governance; investment banking; corporate finance and capital markets; securities law; securities sales, trading and research and academe.

SER encourages its members to adopt SER Best Practices of ethics and integrity, and its motto - "Seek and Speak the Truth" - is our behavioral touchstone. An annual summer member conference, a dedicated web site and ongoing member networking are the primary tools SER employs to maintain it's premier position in the expert witness field.

Activities

SER's two-day annual summer member conference (also open to engaging attorneys) presents professional education programs with prominent outside speakers and evening social events offering camaraderie and networking opportunities.

Members provide services individually and not under SER's umbrella. Their services include expert testimonial work in federal and state courts, arbitration and mediation forums (e.g., AAA, FINRA and JAMS) and SEC proceedings; production of formal expert reports and non-testimonial expert consulting.

SER encourages member pro bono participation in Securities Arbitration Clinics (several of which have a law school affiliation) through teaching, consulting, and expert testimonial services. Members also support the securities dispute resolution process by attending relevant conferences and meetings and by serving on relevant committees of organizations involved in securities dispute resolution.

Leadership

SER has a demonstrated history of leadership in securiites arbitration. In 2004 a founding member co-authored work on sequestration of experts at hearings which led to revision of the opening script. In 2012 SER identified instances of electronic eavesdropping in hearings which led to revision of the opening script. In 2014 SER alerted FINRA to the issue of "phantom retention of experts" which led FINRA to condemn this practice. See "Who We Are"...then Regulatory Advocacy Issues for detailed descriptions of these actions. Select the link to see SER's position on:

Use the profile details on our "Find an Expert" search page to contact a member directly.

 


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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