A Sample of Our Experts
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Stuart Ober
President, Securities Investigations, Inc.

Due Diligence, Fiduciary Standard of Care, Suitability, Selling Away, Private Placements, Ponzi Schemes, Investment Adviser and Broker/Dealer Issues, Real Estate, Oil and...

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Sidney D. Krasner
Principal, SD Krasner Associates

I manage litigation support services with a concentration in securities and commodities brokerage. My focus is supervision, compliance, suitability, branch management, options...

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J Bernard Fiedler
Principal, Segue Special Situations Group LLC

Fiduciary investment process and trust administration

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Jeffery E. Schaff
Ardor Fiduciary Services, Ltd.

Brokerage sales and supervision Investment fiduciary duties of Investment advisors and trustees Analysis of complex investments and strategies

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Stewart L. Appelrouth
Principal, Appelrouth Farah & Co. Certified Public Accountant

Lost Profits Reasonableness of Investments Valuation Fraud Forensics Accounting

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Bob Lawson, AIF®, CFE®, MRFC, LUTCF®
President , Barrington Financial Consulting Group, Inc.

FINRA Expert Witness, Securities Expert Witness, FINRA Arbitrator, FINRA Mediator, Early Neutral Evaluation, Breach of Fiduciary Duty, Standards of Commercial Honor and Principles...

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Patricia Koetting
PKoetting & Associates

Account Analysis, Profit and Loss, Out of Pocket, Damage Calculations, Asset Allocation, Turnover, Cost to Equity, Commission Analysis, Market Adjusted Damages, Benchmark...

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Elliott M. Server
Testifying Expert and Consultant, Scales Consulting Group

Suitability, Standard of Care, Supervision of:General Securities (including Equity Options, Taxable and Tax-free Fixed IncomeLife Insurance (including WL, UL, VUL, Term and...

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Who We Are

 

Mission Statement

SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute neutral as an organization.

History

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 began as a 1992 gathering of eight experts who knew each other and found sharing their experiences and expertise beneficial.  Early meetings set the stage for our annual member conference.  Today SER conducts its business exempt from federal income tax under Section 501(c) (6) of the Internal Revenue Code.

Membership

Members span the United States and have solid academic credentials and career accomplishments in accounting; asset/wealth management; business leadership and corporate governance; investment banking; corporate finance and capital markets; securities law; securities sales, trading and research and academe.

SER encourages its members to adopt SER Best Practices of ethics and integrity, and its motto - "Seek and Speak the Truth" - is our behavioral touchstone. An annual summer member conference, a dedicated web site and ongoing member networking are the primary tools SER employs to maintain its premier position in the expert witness field.

Activities

SER's two-day annual summer member conference (also open to engaging attorneys) presents professional education programs with prominent outside speakers and evening social events offering camaraderie and networking opportunities.

Members provide services individually and not under SER's umbrella. Their services include expert testimonial work in federal and state courts, arbitration and mediation forums (e.g., AAA, FINRA and JAMS) and SEC proceedings; production of formal expert reports and non-testimonial expert consulting.

SER encourages member pro bono participation in Securities Arbitration Clinics (several of which have a law school affiliation) through teaching, consulting, and expert testimonial services. Members also support the securities dispute resolution process by attending relevant conferences and meetings and by serving on relevant committees of organizations involved in securities dispute resolution.

Leadership

SER has a demonstrated history of leadership in securities arbitration. In 2004 a founding member co-authored work on sequestration of experts at hearings which led to revision of the opening script. Over the years, SER identifies instances in which they can collectively improve the securities dispute resolution process. See links here:

Use the profile details on our "Find an Expert" search page to contact a member directly.

 


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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