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2019 Annual Conference & Membership Meeting

Program / Agenda

Members will be notified prior to the conference, when presentation materials will be available for viewing and download.

Friday — August 2, 2019
Time Description
Board of Directors Meeting, Board Members Only.
12:00 - 1:00pm Registration and Buffet Lunch
Members and registered guests.
  1:00 - 1:30 
Annual Membership Meeting
Gordon YalePresident
Election of President-Elect and Directors
Officers' reports
  1:30 - 2:45 
Update on FINRA and Securities ADR Developments. What better way to kick off this year’s meeting than with an update on the latest doings in the securities dispute resolution arena? Richard W. Berry, Esq., Executive Vice President and Director of FINRA’s Office of Dispute Resolution, and George H. Friedman, Esq., SER member and the immediate past holder of that post, will engage in a fast-paced, interactive review of what’s new in the securities dispute resolution field. Hear about the latest rule changes, administrative improvements, case filing trends, and legal and regulatory developments, and what’s in store going forward. Learn the panelists’ views on the three arbitration-centric cases decided by the Supreme Court this Term, and the several anti-arbitration bills introduced this year. Join us for an exiting 75-minute kick-off panel!
  2:45 - 3:00 Break
  3:00 - 4:00 
View from the Bench. Moderator James K. Langdon, Esq. Partner at Dorsey & Whitney LLP. Panelist: Judges tba
  4:00 - 4:15  Break
  4:15 - 5:15
Migration to RIA Platform and Increase in RIA Cases Moderator David Keogh, SER member and President of DJK Consulting LLC. Panelists: Matthew T. Boos, Esq. Shareholder and head of Fredrikson & Byron’s Investment Management Group; Thomas Taliaferro, SER member.
  6:00 - 6:45
Cocktail Reception
Members and registered guests. Dress code: dress or pant suits for ladies/coat and tie for men.
An opportunity to network, form new friendships and renew/burnish existing ones.
  6:45 - 9:30 


Annual Member/Guest Dinner at The Saint Paul Hotel
Members and registered guests, invited attorneys. Keynote speaker: Colin T. Nelson, mystery suspense author takes inspiration from his career as a criminal trial lawyer (prosecutor and defense) for over 40 years and has "some wonderful, crazy, touching, terrible stories to tell."  (Smashwords)
Saturday — August 3, 2019
Time Description
  8:00 - 9:00am Buffet Breakfast 
Members and registered guests.
  9:00 - 10:00
Due Diligence Standards on Alternative Investments with Anthony Chereso, President & CEO of The Institute for Portfolio Alternatives. 
10:00 - 10:15  Break
10:15 - 11:15 
In My Expert Opinion: Becoming an Effective Expert in the Financial Services Industry with Michael D. Weiner, Esq., retired, former Director at Bates Group and one of SER's original Director/Incorporators. In addition to his expert witness work, Michael was a practicing lawyer at The Options Clearing Corp; Filler, Weiner, Zaner & Associates; and The Chicago Mercantile Exchange. (Copies of Michael's book will be included with registration.)
11:15 - 11:30 Break
11:30 - 12:30
Writing an Expert Report & Testifying Differences: Arbitration, Deposition, and Court 
Panelists will cover these two significant areas of the expert witness practice. A well written expert report is critical under the strict guidelines of Federal Rule 26. Learn the "Do's and Don'ts" with advice from seasoned experts. In the second half, panelists will dicuss the nuances between testifying under these three scenarios and provide tips for concise and compelling testimony. Moderator Patricia Koetting, SER member and Principal of PKoetting & Associates. Panelists: Michael D. Weiner, Esq., retired, former Director at Bates Group; Ross Tulman, SER member, Principal of Trade Investment Analysis Group; tba
12:30 - 1:30pm Buffet Lunch
Registered members only.
  1:30 - 2:30 
Death of the DOL/Birth of the SEC Best Interest with Keith Loveland, Esq., SER member and Principal of Loveland Consulting.
  2:30 - 2:45  Break
  2:45 - 3:45 
New Business Opportunities from Alternative Types of Securities and Investment-Related Areas with Stuart Ober, SER member and President of Securities Investigations Inc. and Jack Herrmann, SER member and Founding member of Herrmann Dispute Resolution Services, LLC.
  3:45 - 4:45 
Experts Roundtable. Incoming President, Dave Keogh, hosts this informal but candid "give and take" session. This year we focus on practice management tips for the expert witness including Fee Structures, Retainer Agreements, and Marketing Techniques as well as opening up the floor for members to discuss any issues they have experienced and want to share the wisdom gained.
6:00 - 8:30 
Post-Conference add-on Dinner, Pazzaluna. 360 Saint Paul Street, Saint Paul
Wrap up your conference experience with a dinner out on the town at a one of the Twin Cities' most popular Italian restaurant!

~Agenda and times subject to change and will be updated as information is provided.~