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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 exciting 75-minute kick-off panel!
  2:45 - 3:00 Break
  3:00 - 4:00 
Judging the Expert: A View from the Bench, Attorney and Arbitrator. Moderator James K. Langdon, Esq. Partner at Dorsey & Whitney LLP. Panelist: The Honorable Thomas S. FraserFourth Judicial District Hennepin County District Court; Phyllis Karasov, Esq. Shareholder at Larkin Hoffman/FINRA Arbitrator; and Terrence Fleming, Esq. Shareholder at Fredrikson & Byron/FINRA Arbitrator. Collectively they have completed hundreds upon hundreds of state and federal court cases, depositions, mediations and arbitrations. From their perspective as attorneys, arbitrators and judge, this distinguished panel will have a frank discussion of their impressions of what makes for an effective expert witness...and what doesn't.
  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. This session will delve into the migration of breakaway advisors from FINRA firms to RIA platforms. Discussion will include the formation of the RIA  Business Model, supervisory role and proliferation of RIA cases. Case review, procedures, causes of actions and discovery considerations will be covered.
  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 public defender) for over 40 years "where he's seen cases that could never be used on reality TV--they're too real; no one would believe them! His books are 'page turners' and he wants to teach his readers something new in every story... Colin's also written a financial handbook called, "When Can I Tell My Boss, I Quit!" When not writing you'll find him playing a tenor sax in a jazz group called, "BlueMood" and the music of Bob Dylan with a rock band"  (Amazon Author Central)
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 Scott Smith, Esq., President & CEO of FactRight, LLC. FactRight specializes in third party due diligence and risk management consulting for the alternative investment community. As Alternative Investment strategies become more mainstream and the enhanced emphasis of best interest standards emanating from the recent SEC’s REG BI, financial services professionals have a heightened duty of care regarding due diligence. Individual policies and procedures associated with due diligence standards are an important part of comprehensive compliance framework. This session will outline suggested business practices around initial and ongoing due diligence focused on alternative investments.
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. To aid both aspiring experts and their counsel, In My Expert Opinion was born out of the desire to train experts in the positive aspects of expert witness work, to point out the pitfalls, and to provide a roadmap to a successful career.
. (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 discuss 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; and Richard Leisner, Esq., SER member, Trenam Law.
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. In June 2019, the Securities and Exchange Commission voted 3-1 to adopt a package of rules and interpretations, the majority argue will enhance the quality and transparency of retail investors' relationships with broker-dealers and investment advisors. This session will discuss the current fiduciary landscape in light of the adoption of Reg BI.
  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. Secular forces have been at work reducing demand for Experts for traditional public investor cases. Hear from two experts who have made the decision to diversify their practice to include securities and investment-related cases of all types in federal and state court, before the SEC and state regulators.
 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 one of the Twin Cities' most popular Italian restaurants!

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