2023 Annual Membership
Meeting & Conference

Program / Agenda

Friday — September 22, 2023
Time (Eastern) Description
 9:00 - 11:00
Parker's Bar, Lobby level
(updated location)
New Member/First Time Attendee Breakfast & Discussion
New members and first-time attendees 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. (RSVPs required.)
Sponsored by: Paul Carroll, Sententia LLC 
 9:00 - Noon
Kennedy Room, Lobby level
Registration Hours 
Members sign in and pick up their badges and welcome packets.
 
Noon - 1:00
Parker's Bar, Lobby level
Buffet Lunch 
Members and registered guests.
Coffee Sponsored by: Bob Lawson, Barrington Financial Consulting Group
  1:00 - 1:45
Kennedy Room, Lobby level
Annual Membership Meeting, Alan BesnoffPresident 
Welcoming Remarks; Introduction of New Members; Officers' reports, Election of President-Elect and Directors; SER Resources Review; Passing of the gavel to Incoming President, Robert Graham.
Sponsored by: Stu Rosenthal, Evidence Replay
  1:45 - 2:05 Break 
Today's Wifi Sponsored by: Patricia Koetting, PKoetting & Associates
  2:05 - 3:00
Kennedy Room, Lobby level
Current Opportunities Related to Fiduciary & ERISA Issues 
This panel will explore the opportunities for experts in fiduciary and ERISA issues.

Moderator:
Stuart Ober, member/Securities Investigations Inc. 
Panelist(s):
Keith Loveland, member/Loveland Consulting
Jeffery Schaff, member/Ardor Fiduciary Services. Ltd.
Ross Tulman, member/TIA  Group
 
  3:00 - 3:20 Coffee Break
Sponsored by: Alan Besnoff, Securities Expert Witness & Litigation Support
  3:20 - 4:50
Kennedy Room, Lobby level
Reg BI:  Business As Usual, or Meaningful Change? 
Reg BI became effective over three years ago, but did it make a difference?  Leading authorities and regulators discuss their views as to how well the securities industry has implemented Reg BI and share their expectations for future developments.
(This session will be broadcast live via Zoom. Click here for more information and to register.)
 
Moderator:
Jeffery Schaff, member/Ardor Fiduciary Services. Ltd.
Panelist(s):
Christine Lazaro, Esq., Director of the Securities Arbitration Legal Clinic, St. John’s Law School and Past PIABA President; 
Stephen Bouchard, Esq., Associate Commissioner for Securities, District of Columbia Department of Insurance, Securities and Banking, NASAA’s Broker-Dealer Section Committee Chair
Peter Tepley, Esq., Defense Counsel, Partner at Rumberger Kirk, co-chair the Arbitration Panel subcommittee of the ABA Securities Litigation Section
James S. Wrona, Esq., Vice President and Associate General Counsel FINRA
Sponsored in part by: Jerry DeNigris, Riverside Financial Group; Alan Besnoff, Securities Expert Witness & Litigation Support, LLC
  4:50 - 5:10 Break
Today's AV Sponsored by: Elizabeth Falk, Falk Financial Analysis
  5:10 - 6:00
Kennedy Room, Lobby level
Testimonials of a Challenging Case 
Three (3) experienced SER members each will share an especially valuable experience from an actual case. The Panelist may have been surprised; or able to turn around a case that was going badly; or learned a valuable lesson from the engagement that made them more valuable to engaging Counsel.

Moderator:
Jerry DeNigrismember/Riverside Financial Group, LLC
Panelist(s): 
Elizabeth Falkmember/Falk Financial Analysis
Lori Raineri, member/Government Financial Strategies
  6:15 - 7:00
King Room, Mezzanine level
Cocktail Reception 
Members and registered guests. Dress code: dress or pant suits for ladies/coats for men.
An opportunity to network, form new friendships and renew/burnish existing ones.
Appetizers Sponsored by: 
 
  7:00 - 9:30
King Room, Mezzanine level
Annual Member/Guest Dinner 
Members and registered guests, invited attorneys. Dress code: dress or pant suits for ladies/coats for men.

Keynote speaker: Garry McCarthy, Chief of Police in Willow Springs; Illinois. Deputy Commissioner of Operations at NYPD during 911, in charge of Crime Strategy under Mayor Guiliani and Mayor Bloomberg; Director of Newark, New Jersey Police Department under Cory Booker; Superintendent of the Chicago Police Department under Rahm Emanuel; and a former candidate for Mayor of Chicago, Mr. McCarthy will share his experiences leading under stressful situations.
 
Coffee & Dessert Sponsored by: Charles W. Ranson Consulting, Inc.
After Dinner Events: Guided Walk or Inside Trivia!
Saturday — September 23, 2023
Time (Eastern) Description
   8:00- 9:00
Parker's Bar, Lobby level
Buffet Breakfast 
Members and registered guests.
Coffee Sponsored by: Catherine Mustico, Fundamental Compliance Consulting
   9:00- 9:45
Kennedy Room, Lobby level
FINRA Dispute Resolution Update 
Richard W. Berry, Esq.Executive Vice President and Director of FINRA Dispute Resolution Services (FDRS).  
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
Today's Wifi Sponsored by: Bob Lawson, Barrington Financial Consulting Group
10:05-11:00
Kennedy Room, Lobby level
The Current Financial Landscape and Future Case Trends
Panelists in this session will address: What are some notable current and/or likely future securities litigation trends? How might the role or the knowledge of a financial expert need to adapt to best address these trends? Will changing macroeconomic dynamics (persistent inflation, higher interest rates, etc.) and disruptive company events (crypto bankruptcies and recent US and European banking failures) result in widespread litigation?  If so, of what nature?  

Moderator:
David C. Hinman, member/Hinman Capital Services 
Panelist(s): 
Jonathan Borck, Vice President/Analysis Group
Marty Dirks, member/Investment Strategy & Analysis
Stuart Rosenthal, member/Evidence Replay
 
11:00-11:20 Coffee Break 
Sponsored by: Elizabeth Falk, Falk Financial Analysis

11:20-12:15

Brandies Room, Mezzanine level

Holmes Room, Mezzanine level

Lowell Room, Mezzanine level

Roundtable Workshops/Session I: Hands on workshops limited to 10-12 members per session. These sessions will refresh what we know, enlighten when we don’t know and build relationships through a more intimate setting conducive to networking. (Members pick one of three to attend.) 
  • Preparing for Deposition or Cross Examination 
    Bob Lawson,
    member/Barrington Financial Consulting Group
     
  • Writing an Effective Expert Report 
    James Kyprios
    member/Kyprios International Services and Bill Purcell, member/William H. Purcell Consulting Inc.
     
  • Past President's Perspective: Paul Carroll, member/Sententia LLC
    Past Presidents discuss their experiences building a practice and where are the opportunities going forward.
12:15- 1:15
Parker's Bar, Lobby level
Buffet Lunch 
Registered members only.
Coffee Sponsored by: Colleen Diles, Diles Consulting
  1:15- 2:00
Kennedy Room, Lobby level
Networking
  2:00- 2:20 Break
 
  2:20- 3:15


Brandies Room, Mezzanine level

Holmes Room, Mezzanine level

Lowell Room, Mezzanine level
Roundtable Workshops/Session II: Hands on workshops limited to 10-12 members per session. These sessions will refresh what we know, enlighten when we don’t know and build relationships through a more intimate setting conducive to networking. (Members pick one of three to attend.) 
    • Preparing for Deposition or Cross Examination 
      Bill Purcell, member/William H. Purcell Consulting Inc. and James Kypriosmember/Kyprios International Services
       
    • Writing an Effective Expert Report 
      Richard Leisner, member/Trenam Law
       
    • Past President's Perspective: Bruce Foerster, member/South Beach Capital
      Past Presidents discuss their experiences building a practice and where are the opportunities going forward.
      3:15- 3:35 Coffee Break
    Sponsored by: 
     
      3:35- 4:30
    Kennedy Room, Lobby level

     
    Experts Roundtable/Open Mic.
    Incoming President, Robert (Bob) Graham, hosts this informal but candid "give and take" session. 
      5:00- 7:30
    Post-Conference add-on Dinner, Mamma Maria (3 North Square, 13-minute walk)
    Wrap up your conference experience with dinner out on the town with colleagues. "Mamma Maria is a restaurant that gives off a level of gravitas rare this side of the Atlantic and yet somehow it is not stuffy at all."  The nationally acclaimed cuisine with a Four Diamond Award of Excellence "balances authenticity with a commitment to the guiding principle of Italian cuisine, a reliance on local markets."
    Appetizers Sponsored by:
    Coffee & Dessert Sponsored by: