MEMBER HIGHLIGHT - SER member Colleen Diles recently spoke on the podcast series The Hidden Entrepreneur Show. In the episode titled "The ex-FINRA Insider You Want in Your Corner" she shared powerful insights on leadership, regulatory strategy, and expert witness work. With more than 22 years at FINRA and now leading Diles Consulting, Colleen discussed how to push back on regulators with confidence and clarity, staying calm and credible under cross-examination, why empathy and integrity are essential tools for consultants and experts, among other advice. She is described as pairing "sharp analysis and ironclad clarity with an almost surprising calm and compassion." The podcast was recorded live at the iconic iHeartMedia studio in New York City, and was an engaging dialogue that highlighted the unique journey of entrepreneurship. You can listen to the podcast on Spotify here.
MEMBER HIGHLIGHT - SER member Dr. Pavithra Kumar takes the stage in a recent episode of On the Stand with Ashish Arun, where she shares rare insights from her career testifying in complex financial, securities, and commercial disputes. In this thought-provoking conversation titled "How Boutique Firms, Technology, and Diversity Are Shaping Expert Witness Work", Dr. Kumar explores how expert witness work is evolving with the rise of technology, AI, and crypto, while emphasizing the importance of diversity, credibility, and collaboration in litigation consulting. From her early experiences at leading consulting firms to her leadership in specialized practices, Dr. Kumar highlights how smaller firms are reshaping the expert witness landscape, what attorneys value most when selecting financial experts, and how professionals can adapt their expertise for new frontiers in fintech and AI-driven disputes. Listen to the full episode here.
MEMBER HIGHLIGHT - SER members Mary Kathryn Campion, Ph.D., CFA®, AIFA® and Keith (Sunny) Loveland, Juris Doctor, AIF®, AIFA® contributed on the fourth major revision of the "Prudent Practices for Investment Advisors". The handbook defines a global fiduciary standard of excellence for professionals who provide investment advice, including financial advisors, broker-consultants, trust officers, financial planners, and fiduciary advisors. It is developed and maintained by The Center for Fiduciary Studies, which is the standards-setting body for the Center for Fiduciary Excellence (CEFEX) and is supported by a team of experienced investment practitioners, attorneys, educators, and other professionals. The Center also confers two highly respected industry designations for investment professionals: Accredited Investment Fiduciary® (AIF®) and Accredited Investment Fiduciary Analyst® (AIFA®). Campion and Loveland are on the faculty of The Center for Fiduciary Studies, teaching the Accredited Investment Fiduciary course. You can download the manual here (you will need to register in order to login and download).
MEMBER HIGHLIGHT - In a recent Law360 article, SER member Pavithra Kumar, Ph.D., explores the SEC’s proposed shift from quarterly to semiannual reporting and its potential ripple effects on litigation risk and market behavior. While the change may ease compliance burdens and encourage long-term strategy, Kumar warns it could also heighten exposure to securities fraud claims, insider trading scrutiny, and volatility driven by informal disclosures. Her analysis urges legal teams to prepare for a new terrain where fewer mandated filings may mean more litigation—not less. Dr. Kumar is Principal at AACG and holds a PhD in Finance from the MIT Sloan School of Management. Her expertise in statistical modeling, econometrics, and damages quantification positions her uniquely to decode complex legal and economic questions.
Read the full article on Law360 here.
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MEMBER HIGHLIGHT - SER member Colleen Diles will be featured in two sessions at the upcoming COCFE Fraud Conference, October 23-24, 2025. On the first day, she will moderate “Fraud Frontlines: Financial Crimes from the FINRA Trenches,” guiding a discussion with FINRA specialists on securities fraud, cyber-enabled schemes, and threats targeting seniors and vulnerable investors. On the second day, she will both moderate and participate in “Expert Witness Excellence: Building Credibility, Maintaining Relevance,” a panel focused on the strategies expert witnesses need to remain credible, effective, and in demand in today’s evolving environment.
Colleen is the President and Founding Principal of Diles Consulting, a firm specializing in expert witness and independent regulatory consulting services. With more than 25 years in the financial industry, including 22 years as a regulator, she helps broker-dealer and registered investment advisor clients navigate complex regulatory requirements.
Her roles at the COCFE Fraud Conference reflect both her regulatory background and her expertise as an expert witness, making her a strong voice in conversations that connect financial crime trends with professional standards of practice.
More information about the conference agenda and registration: COCFE Fraud Conference.
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ROUNDTABLE NEWS - SER announced the dates and venue for its 34th Annual Member Meeting & Expert Conference. In its 34th year, the 2026 event will take place August 6–7 (Thursday–Friday) at the Sofitel Hotel in Washington, D.C. Save the dates to unlock exclusive insights and connect with peers across the expert community. Registration opens in Spring 2026.
Watch our Upcoming Conference page for details and the full agenda as they’re released!
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