Securities Experts Roundtable, Inc.

Actively involved in the financial industry since the early 1980's. Former Executive Vice President; Executive Management Committee Member, Director of Compliance, Member Risk Management Committee and Research Analyst Committee, Compliance Registered Options Principal for South Florida affiliated NASD and NYSE broker dealers as well as an Allied Member of the NYSE 1994 to 2001.

Industry expert for consulting and testifying in litigation involving investments and/or standards of care of stockbrokers, investment advisers and investment fiduciaries (e.g. trustees, retirement plans).

Ms. King has assisted national and regional brokerage firms, investment advisers, registered persons, investment adviser representatives, investors, mutual funds, state attorney general offices and the U.S. Justice Department in securities arbitrations and trials around the country. She has testified extensively on both regulatory issues and the application of securities laws and rules to various fact patterns and issues. Cynthia King provides Expert Witness assistance in the following key areas:•Consulting with attorneys to assess case issues, strengths and weaknesses •Formulation of opinions regarding the application of securities laws and regulations and assessing liability issues •Prepare written opinions when requested •Testify at hearings and trials •Damages analysis

We are a consulting firm specializing in the preparation of standard profit & loss and custom analyses for use in securities litigation and account review. Our principle has 20 years of experience in this industry and has worked with individuals and brokerage firms on well over 3300 matters. Our support staff consists of highly trained and qualified individuals with many years of experience in accounting/finance based positions. We specialize in creating clear/concise/cost efficient analyses designed to accurately represent the facts and arguments in each case. In addition, our alternative investing models provide almost limitless application capability. Our success in having schedules accepted by adjudicating bodies is excellent. Email: CDMFincl@pacbell.net

Registered investment advisor and consultant to institutional, corporate, regulatory, and private clients. Extensive background within broker-dealer, investment advisor, and bank trust environments, overseeing organizations staffed by as many as 100 personnel in managing asset bases as high as $20 billion. Career includes work as an analyst, research director, portfolio manager, chief investment officer, and business manager. Have been qualified to testify on suitability, fiduciary duty, supervision, churning, and standards of care in matters involving mutual funds, hedge funds, exchange funds, brokerage accounts, advisory accounts, and trust accounts. Email:czp1@optonline.net

Mr. Sullivan has 35 years industry experience as manager, arbitrator, and expert witness. Has been approved as expert for FINRA, and in US Civil Courts in NY, MA, TX and RI. His expertise includes Suitability, Senior Investment Disputes, Supervision, Derivatives, Annuities, Employment Disputes and Trust matters, which are some, but not all, issues of his prior testimony experience. References upon request. FASulliivan.com

I am experienced in all aspects of securities industry customs, practices and legal regulation including operations, back office, FINRA/SRO/SEC, trading and markets, financial responsibility, transactions, sales practices, clearing firms.California Bar - 1969; Supreme Court of United States - 1975; specializing in all aspects of securities law including: state and federal registration, regulatory enforcement, broker-dealer regulation and compliance, litigation, arbitration and mediation; expert witness in United States District Court, California Superior Court and arbitration forums on securities-related issues and attorney professional standards; numerous speaking engagements; numerous publications; mediator - securities disputes.

GG Dube, founded G Genco & Associates, Inc., located in Florida. She began her financial career 1987, in New York City, heading Compliance for a private banking affilate of Chemical Bank. A registered RR, RIA, & expert witness (since 1996 has testified over 100 times and been retained on over 400 cases) for the Securities & Exchange Commision, State of Florida, & attorneys, on Broker Dealer (BD) & Investment Adviser (IA) issues. The Firm's associates provide: risk management analysis for BD’s, RIA’s, trust & insurance products. The Firm also offers custom Manuals, Audits (AML, 3012), IARD & CRD administration & registration, Brochures, Codes of Ethics, AML, Privacy Policy, BCP, mediation, Insider Trading (ITSFEA) and webdesign. All services are confidential.

Guild Associates provides consulting services to individuals and institutions in regard to financial services. With a cadre of associates we are able to assist in a broad category of specific requests.With two locations, NY and CT, we are able to easily cover all of New England and have represented parties throughout the continental United States. Email: GGuild@Comcast.net

35 + years experience- CPA , CFE , CVA, ABV, CFA, FCPA - Series 65 Testified on many occasions in securities related matters . Qualified in numerous federal and state courts, bankruptcy courts and FINRA and JAMS arbitration matters as an expert in damages,suitability, asset allocation,fraud and tax and accounting issues

F. Jack Herrmann serves the dispute resolution process as a neutral FINRA-approved Mediator and Arbitrator, as well as a Consultant and testifying Expert Witness assisting Attorneys with securities cases in federal and state courts, and FINRA arbitration hearings. He works with Attorneys defending major financial services companies, and with Attorneys representing Claimants and Plaintiffs. Mr. Herrmann has over thirty (30) years of experience in the securities industry as a broker, Branch Manager, Manager in Branch Administration, Portfolio Manager and founder of a Registered Investment Advisory firm. Email: FJHerrmann2@me.com

Having previously served both as Compliance Director and General Counsel to a major regional brokerage firm, Mr. Scherer is now engaged as a consultant to brokerage firms and providing expert witness testimony in FINRA arbitrations and court proceedings throughout the United States.Mr. Scherer's primary areas of expertise include sales practice issues and those rules and regulations governing brokerage firms and their employees. Because of his prior experience as a Compliance Director and General Counsel, Mr Scherer has a unique perspective with respect to the aforementioned areas. It is significant to note that Mr. Scherer represents both brokerage firms and their employees, as well as customers of those firms.

www.JohnDuval.com Arbitrator, mediator, expert witness. Retired from Merrill Lynch, retail broker, branch manager, district-level manager. MER insurance and annuity specialists. On payroll of MER Life Insurance Co. Suitability, supervision, asset allocation, bond analysis, bond expert, manager of specialty area in NYC consisting of mutual funds, managed money (SMA), insurance and annuities, mortgages, pledged-collateral, business loans and trusts and trust administration.

Margin, Option-Margin & Credit Risk Expert. Analysis of all Customer Margin and Option Margin Account transactions from a regulatory and risk perspective including trading in derivitives such as CMOs and CDOs (e.g. inverse floaters), options and futures on stock, currency, and interest rates, and interest rate swaps. Analyze Portfolio Margin and Prime Brokerage Account transactions; Carrying (Clearing) Firm and Introducing Firm matters and disputes; NYSE Rule 382; complex option-margin strategies, e.g. option matching; Hedge Fund activity; violations of Regulation T, NYSE and SEC rules; Stock Loan and Short Sale Operations.

Klein & Associates provides expert witness reports and testimony on fraud, suitability, definition of a security, and securities law requirements. We also provide forensic accounting services, to determine where funds were expended improperly. Wayne Klein serves as a court-appointed receiver, taking over companies that operated Ponzi schemes. Klein is a former state regulator and enforcement attorney.

Financial Training & Consulting. Contact: MarginMike@aol.com

PF2 is a New York-based consulting firm that focuses on structured finance securities, with a concentration on collateralized debt obligation (CDO) securities. With its buy-side, sell-side and rating agency experience, PF2 has been actively engaged as expert witness or supporting consultants on several timely litigation cases.

I continue to be a Senior Managing Director of Sutter Securities Group, Inc., available as a litigation consultant and expert witness specializing in complex broker dealer, supervision, clearing, prime brokerage and hedge fund matters. I look forward to working with you as the need arises. I'm in easy reach of Boca Raton as well as the West Palm and Ft. Lauderdale airports. Ray Aronson Sutter Securities Group Ray@Suttersf.com or Rayaronson@gmail.com 561-776-7036

Richard M. Leisner- Richard Leisner is the senior securities lawyer at Trenam Kemker, a Tampa based law firm. Richard divides his time between expert witness engagements in complex commercial litigation and legal malpractice cases and traditional legal services in business, corporate and securities transactions. Richard has provided expert witness services in federal and state courts, in arbitration proceedings and in both civil and criminal matters. Decades of experience in private practice as a corporate and securities transactions attorney provides Richard with a solid foundation to provide effective expert witness services in a wide variety of fact situations.

Riverside Financial Group provides analysis and testimony for securities dispute matters.

31 years SEC enforcement experience prior to retirement in 2006 including 15 years as manager of litigation for SEC Denver office. Trial of dozens of SEC enforcement matters. Professor at University of Denver Institute for Public Policy Studies since 2009. Expertise in suitability, broker-dealer and investment adviser matters, market manipulation, insider trading, securities registration, markups, Ponzi schemes, and fraud.Available as expert witness, case adviser and mediator.

Mission is to provide expert witness service and counsel those engaged in Securities arbitration, litigation, and mediation matters.Elliott Server has over 30 years of Securities Industry experience that includes over 18 years in General Securities Supervisory and Branch Management at a major NYSE firm. In addition, he served as that firms National Director of Insurance Services (Life, Annuity, and Estate Planning) from 1997 until his retirement in 2003. He resides in Atlanta, Georgia.

SAC: SAC publishes three newsletters that cover arbitration (SAC), litigation (SLC) and Awards (SAM).For checking arbitrators (ARBchek) and conducting Award research (SAC's Award Database), SAC maintains a field-based database that summarizes and contains approximately 50,000 Awards. SAC also e-mails a weekly UPDATE: ARBchek report, summarizing the latest available Awards.RPR: Graduate, NYU Law School. NASD (NY Dist. Ofc., as District Counsel; Arbitration Dept., as Director of Arbitration), 1973-1978; Harbinger Properties, 1980-1982 (as Counsel); PaineWebber, Inc., (as Associate General Counsel), 1982-1988; Securities Arbitration Commentator, Inc. (as President, Founder), 1988-present.

Ben Lubin is a former Director of SIA, DTCC, and Governor of NASD. He provides Consultation and Testimony and specializes in clearing firm issues and liability, margins, compliance, brokerage firm operation, and firm capital issues. Contact: secind@aol.com

Stuart Ober, AIFA, CFE, is the president of Securities Investigations, Inc., a New York area-based due diligence, investment consulting, and expert witness firm. A former manager of a number of Wall Street tax-investment departments, Mr. Ober has served as an investment professional for over 35 years, and an expert (for plaintiffs and defendants) since 1980 Areas of expertise include due diligence, private placements, real estate, oil and gas, selling away, fiduciary issues, suitability, and fraud. Mr. Ober served as a member of the Financial Products Standards Board of the Institute of Certified Financial Planners, and as consultant to the U.S. Department of the Treasury – Internal Revenue Service, and the State of New Jersey. E-mail: ober@stuartober.com - (845) 679-2300.

Greg Wood, an articulate securities expert, combines 35 years as a securities industry professional with over eight years of litigation consulting to help clients succeed in arbitration or court.Since 2004, Greg through his business, Securities Litigation Support, LLC, has:▪ Been retained by over 75 attorneys located nationally ▪ Been retained in over 160 matters▪ Written over 50 expert reports▪ Testified over 40 timesAttorneys representing both the complaining client (Claimant) and the brokerage firm (Respondent) retain Greg. Further, he is a FINRA Arbitrator and Mediator. Working with both sides combined with his FINRA Arbitration experience gives him a unique and unbiased perspective when he analyzes the case facts, discovery, writes reports and offers expert testimony.

Richard Sandow has more than 45 years experience as an investment professional - as a registered broker, supervisor, fixed income specialist, financial and operations principal. He has been engaged more than 500 times as an expert and has testified in Federal Court and a variety of state courts and arbitration forums. Areas of expertise include supervision, suitability, misrepresentation, churning, investment analysis, structured finance, municipal securities, industry standards, and rules of SEC, FINRA and various state securities boards. Contact: RSandow@southcap.net

David Tilkin is a litigation support and expert witness specialist with over 20 years of experience in the securities industry and over ten years experience in the compliance software industry. David has supervised hundreds of brokers and scores of branch managers in his tenure at both Smith Barney and Wachovia Securities. David currently maintains a Series 65 license and has previously maintained a Series 63, 7, 8, and 4 licenses. David’s participation included management, recruiting, training, sales leadership, administrative and compliance support.

Gordon Yale is the principal of Yale & Company, a Denver-based forensic accounting and financial consulting firm specializing in securities fraud as well as president of Yale Group, Inc., a boutique investment bank. Mr. Yale, a former securities analyst, has served as a special investigative consultant to the Securities and Exchange Commission, the states of Colorado, Florida and Hawaii, and as an expert for both plaintiffs and defendants in many civil matters on behalf of institutional and other clients. Mr. Yale has provided expert consulting or testimony in matters involving Bear Stearns, Angelo Mozilo, a Madoff feeder fund and four other Ponzi schemes. Mr. Yale has extensive experience analyzing debt and equity securities.