Securities Experts Roundtable 2024 Annual Conference

2022 Annual Membership Meeting & Conference

Program / Agenda

Friday — July 15, 2022
Time	Description
9:00 - 11:00	New Member Breakfast & Workshop New members are invited to join Board members for a casual meet and greet breakfast to learn more about SER and how to maximize the benefits and resources of membership. (Invitations will go out after registration.)

Noon - 1:00	Registration and Buffet Lunch Members and registered guests.
1:00 - 1:30	Annual Membership Meeting, Paul Carroll, President Introduction of New Members; Officers' reports, Election of President-Elect and Directors; Passing of the gavel to Incoming President, Alan Besnoff.
1:30 - 1:45	Break
1:45 - 2:40	Engagement Opportunities; Diversifying Your Practice with Non-Traditional Areas Moderator Jack Herrmann, member/Herrmann Dispute Resolution Services, LLC How well are we diversifying our practices by forum, issues, clients and Attorneys? Time for a check-up. SER member Jack Herrmann will ask us to review our own practices to develop new sources of engagements.
2:40 - 3:00	Coffee Break sponsored by Elizabeth Falk
3:00 - 4:00	Testifying Skills for Deposition or Trial Moderator Charles W. Ranson, member/Charles W. Ranson Consulting, Inc. with Chuck Dorr, Esq., Dorr Law Learn how to improve the quality of your testimony in deposition or trial.
4:00 - 4:20	Break
4:20 - 5:20	Speed Networking This session will be a fun, energetic, fast-paced event popular at many conferences. Every member will meet briefly with every other member. Be sure to bring plenty of extra business cards and be prepared to give the most succinct description of your specific areas of expertise—after all, it is “Speed” networking!
6:15 - 7:00	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. Cocktails sponsored by SER BOARD OF DIRECTORS Appetizers sponsored by KATHY ADAMS
7:00 - 9:30	Annual Member/Guest Dinner at The University Club of Washington, D.C. Members and registered guests, invited attorneys. Keynote speaker: Nathaniel R. Herr, Ph.D. Associate Professor of Psychology, American University. The ability to notice, tolerate, and modify strong emotions is a skill that has received great attention in psychological research over the past 15 years. Broadly called "emotion regulation," individuals who deploy effective strategies to enhance these abilities seem to be able to ride out waves of emotion without turning to self-defeating behaviors or drifting off course from their primary objectives. In particular, situations involving interpersonal conflict present a key challenge, as they require individuals to rapidly regulate emotions in an environment where others are often aiming to provoke strong reactions. Dr. Herr will discuss his experiences both as a researcher who has focused on the interplay between emotion regulation and interpersonal effectiveness and as a clinician who has deployed and taught these skills when working with patients. Dessert sponsored by Patricia Koetting After Dinner Events (new this year): Guided Walk to Selected Sites with Kerry Campbell & Bob Lawson or Inside Trivia with Dave Keogh
Saturday — July 16, 2022
Time	Description
8:00- 9:00	Buffet Breakfast Members and registered guests.
9:00- 9:45	FINRA DR Update with Richard W. Berry, Esq., Executive Vice President and Director of FINRA’s Office of Dispute Resolution. A yearly tradition, where Rick updates members on trends in FINRA arbitration, new procedures, types of cases filed, award results.
9:45-10:05	Break
10:05-11:05	FINRA & SEC Regulatory & Enforcement Updates Moderator Hollie Mason, member/The Brattle Group hosts Paul M. Schindler, Esq. Chief Counsel, FINRA Department of Enforcement and David Becker, Esq., Assistant Director SEC Division of Enforcement. In 2021, newly confirmed members of the Biden administration set the stage for increased enforcement activity, surging resources to investigations and announcing new policies aimed at curbing a wide range of violations. Much of this activity has centered around positions on market restructuring and emerging technologies. Our esteemed Panel will be discussing 2022 enforcement highlights and what’s next in terms of agency enforcement priorities.
11:05-11:25	Coffee Break sponsored by Alan Besnoff & Paul Carroll
11:25-12:25	Best Ways for an Expert Witness to Participate in Mediation Bob Lawson, member/Barrington Financial Consulting Group and Jack Herrmann, member/ Herrmann Dispute Resolution Services Though not every mediation requires the presence of a Securities Expert Witness, many cases involving the expertise of an expert with subject matter knowledge may greatly benefit the outcome. As an unbiased expert, we can make a significant difference in the success of a mediation and can strengthen the client’s case and bring more pressure on opposing counsel to settle the claim quickly and more fairly.
12:25- 1:30	Buffet Lunch Registered members only.
1:30- 2:30	Expert Engagement Opportunities in Enforcement Actions with Stephen Topetzes, Esq. K&L Gates
2:30- 2:50	Break
2:50- 3:50	Ethical Considerations for Experts; Avoiding Potential Traps Moderator Alan Besnoff, President-Elect/Securities Expert Witness & Litigation Support. This candid and important discussion includes detailed considerations to help members avoid the potentially devastating consequences of ethical traps facing expert witnesses. Our discussion will address such traps as “Scope Creep” and “Advocacy Creep”, Conflicts of Interest, Confidentiality, applicable ABA Rule(s), and more.
3:50- 4:10	Coffee Break sponsored by Elizabeth Falk
4:10- 5:00	Experts Roundtable. Incoming President, Alan Besnoff, hosts this informal but candid "give and take" session. What was your most important takeaway: What will you do differently or how will you use the takeaway in your practice?
6:00- 8:30	Post-Conference add-on Dinner, RIS 2275 L Street NW Wrap up your conference experience with dinner out on the town with colleagues. A Michelin Guide selection, this beloved, upscale, seasonal, neighborhood restaurant was created by Chef/Owner Ris Lacoste. Her inventive, creative style reflects the seafood of her New England roots, the classics of her Paris training, with the freshness of her farmer's market obsession.

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

Note: Masks are currently optional, however the Club continues to follow the guidelines set forth by the CDC and will remain in compliance with any mandates that are released through the Mayor's office. You can read more about their protocols here. All attendees and speakers will be required to complete a standard liability release and Health Certification Form online each morning, confirming they are not experiencing Covid-19 symptoms and, to their knowledge, have not had exposure.