A Sample of Our Experts
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Wayne Klein
Principal, Klein & Associates, PLLC

Regulatory actions Ponzi schemes Fraud Misrepresentations and omissions Forensic accounting Commodities regulation

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James M Garber
Expert Witness, Barrington Financial Consulting

Qualified Retirement Plans ​ 401k Plan Management DOL & IRS Rules / Regulations Excessive Fees Determination Mutual Fund Selection & Monitoring...

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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,...

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Patrick M. Dennis
Founding Principal & General Counsel, Oyster Consulting, LLC

Broker/Dealer Compliance and Regulatory Issues Investment Advisor Compliance and Regulatory Issues Suitability and Fiduciary Duty Due Diligence Employment...

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Michael Cashel
Managing Partner, CapMarketsIQ LLC

Registered as a series 7,9,10,24,55,63,99. Former CEO, COO, and CCO of several Broker-Dealer and Fintech related companies. Investment Best Practice...

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Charles W. Ranson
President, Charles W. Ranson Consulting, Inc.

Experience in managing all aspects of personal and institutional trust services with OCC supervised institutions. Highly focused on claims of...

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Mike Mumford
Managing Director, FirstRule Financial Inc.

Investment Fraud, Investigative and Forensic Accounting, Risk Assessment, Compliance Testing, Risk Consulting, Internal Investigations, Litigation...

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Gordon Yale
Yale Forensics

Due diligence, Ponzi schemes, adequacy of disclosure, fraudulent financial reporting, professional negligence, damages, real estate investments,...

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MISSION STATEMENT

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

The Expert's Examiner (SER's Newsletter)

VOL 2020-Vol 2
VOL 2020-Vol 1
VOL 2019-Q4
VOL 2019-Q3
VOL 2019-Q2
VOL 2019-Q1

 

Who We Are

The Securities Experts Roundtable (SER) is a group of experienced finance and investment professionals engaged in all aspects of dispute resolution involving securities, investment-related matters and securities industry employment disputes. SER members serve as neutral arbitrators and mediators, and as consultants and testifying experts. SER Members seek to provide clarity and perspective to assist parties in direct negotiations and mediation, and appear in federal and state courts, before FINRA, AAA and JAMS arbitration hearings, before the SEC and state securities regulators. Members provide services individually and not under SER's umbrella. 

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 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. Since 2019, SER publishes a periodic newsletter, The Expert's Examiner, that covers items of interest in the industry as well as within the organization. (Past issues can be accessed above and non-members may subscribe to upcoming issues here.) In 2020, SER began broadcasting a series of live and recorded webcasts covering current issues, presented by members and outside speakers. Webcasts are a member-only benefit.

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:

 


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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