How To Become A Member
Securities Experts’ Roundtable, Inc.
Membership Criteria & Benefits
Who may become a member?
To qualify for Voting Membership, individuals must:
- Be nominated and seconded by two current Voting Members;
- Submit a copy of your curriculum vitae; AND
- Have had 20 engagements as an expert in securities dispute resolution or
such experience, skill, or other qualifications so that you may be able to
contribute to the organization.
What are the benefits of being a Voting Member?
- An invitation to and the ability to participate in SER conferences;
- Access to all materials provided at conferences;
- Access to all group benefits;
- Access to SER website information and resources;
- The ability to post contact information and a resume or curriculum vitae
on SER website; - The ability to contribute content to SER website;
- The ability to vote for the Board of Directors and President-Elect;
- The ability to serve on Committees and the Board of Directors;
- The ability to serve as an Officer.
Are there any obligations of membership?
- All members must agree to accept official corporate notices via email and
pay dues on a timely basis.
Do I have to post my contact information or my curriculum vitae on SER’s website?
- We require that a copy accompany your membership application, but
posting your CV on the website is strictly voluntary. In addition, you may also choose to have your contact information kept private on the website.
BEST ETHICAL PRACTICES FOR EXPERTS
Securities Experts’ Roundtable
Statement of Purpose: The development and promulgation of these “Best Ethical Practices” for experts engaged in securities dispute resolution work was undertaken by the Securities Experts’ Roundtable to guide members in shaping their own professional endeavors and in advancing the public image of expert witnesses as a profession. We have worked with no other organization in formulating these precepts and do not suggest that they have application outside the field of practice we represent.
Just as the adage, “good compliance makes good business,” carried both an ethical and a practical connotation, we believe that these “Best Practices for Experts” represent not only sound ethical guidance for securities dispute resolution experts, but sound practical tips as well for the avoidance of undesirable conflicts, potential liability, and possible client dissatisfaction or confusion. Our objectives are to assist the individual practitioner by tapping the collective wisdom of this body’s membership and to foster principles of conduct that will engender professional credibility and pride among our ranks and the community in which we work, i.e. securities arbitration/litigation.
1. The expert will at all times be truthful in rendering his/her opinion.
2. The purposes of expert testimony are to assist the trier of fact in understanding complex issues as well as to opine on industry practices.
3. The expert, before accepting a case, should use his/her best judgment to determine that he/she has the necessary level of expertise to handle the assignment.
4. The expert should inform retaining counsel prior to his/her testimony when the opinion expected to be proffered has a substantial likelihood of damaging the retaining party’s interests.
5. The expert should not agree to participate financially either directly or indirectly in the success or failure of a case.
6. All non-public documents provided to the expert by the parties should be held in strict confidence.
7. All billings should be fair, reasonable and accurate as to the time spent on the matter. The expert should document time spent and expenses charged when invoicing a client.
8. Damage analyses, statistical presentations, charts and schedules prepared by the expert or under his/her supervision shall accurately, objectively and fairly present the given facts of the matter in dispute and clearly set forth the parameters and assumptions under which they are prepared.
9. Expert testimony/reports should not include inflammatory language, ad hominem attacks, or misleading or inadequately supported opinions.
10. Experts should not attack or malign other experts with whom they might disagree. Disagreements concerning opinions rendered should be expressed in a professional manner, especially during testimony.
11. Experts should affirmatively inquire into the existence of potential or actual conflicts prior to accepting an assignment. The expert should promptly inform the client of conflicts and potential conflicts as they become known during the course of an engagement.
12. Details listed in the expert’s resume shall be accurate.