A Sample of Our Experts
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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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Richard Leisner
Attorney - Shareholder, Trenam Law

Public and private securities offerings (IPOs, Regulation D, etc.) Broker dealer private offering responsibilities Due diligence Securities resales (Rule 144, etc.) M&A...

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M Thomas Hudson

Mr. Hudson has significant experience and expertise in the following areas: client suitability; margin; options trading; corporate and municipal bonds; mutual funds; Exchange...

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Bob Lawson, AIF®, CFE®, RFC®, LUTCF®
President and Chief Compliance Officer, Barrington Capital Management, Inc.

At Barrington Capital Management, Inc., under the guidance of our team leader, Mr. Bob Lawson, we will provide consulting services for companies and their counsel in matters...

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Rick Chess
Managing Partner, Chess Law Firm, PLC

Real Estate, REIT , Reg D, 1031, TIC, DST, Acquisitions, Managing Broker-Dealer , Alternative Investments, Due Diligence, Valuation, Fairness Opinion, PPM, Governance, Audit...

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Daniel I MacIntyre
Of Counsel, Parker MacIntyre

I have been actively involved in the practice of securities law since 1974. I have represented the Georgia Securities Commissioner. I have represented plaintiffs and defendants...

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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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David James Keogh
Consultant/Expert Witness, DJK Consulting LLC

Compliance Audits, Churning, Failure to Supervise, Misrepresentation, Mutual Funds, Options, Restricted Securities, Sales Practice Violations, Securities, Fraud, Branch Supervision,...

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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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