MEMBER HIGHLIGHT - SER member Stuart Rosenthal announced the launch of DamagesPro℠, a new software application that automates damages analysis and reports for disputes asserting securities-related losses. The news release, shared in January, explains the proprietary software uses a simple drag-and-drop interface that "uniquely combines investments and damages expertise with AI-enhanced technology, to systematically classify, extract and process the datasets needed to calculate account-based damages". Stu created the program from robust methods and algorithms he developed over the course of his work as a consulting and testifying expert. The resulting product is a cloud-based software service for litigators and experts, that looks to standardize and scales the process while saving time and expense for the client. Read the full press release here.
ROUNDTABLE NEWS - SER's Practice Management Committee (PMC) hosted a member only webcast on Wednesday February 5th. "Understanding Negligence and Insurance: Insights for Expert Witnesses” was an hour long discussion including the potential legal exposure experts may face, carrying E&O insurance and pros and cons of certain clauses in the retainer agreement. Moderated by committee member Gordon Yale, the guest speakers were two long-time professional negligence defense experts—John Raspante and Lyndon Sommer. Mr. Sommer has defended professional negligence claims in both state and federal courts while Mr. Raspante has advised firms, including professional liability carriers, on loss prevention. The event is the second in a series of webcasts planned by the PMC and has received high praise from attendees. SER members can access the recording in our Library along with the presentation slides. Keep abreast of upcoming events by visiting Our Upcoming Events calendar!
(Speaker contact: lsommer@sandbergphoenix.com, 314-446-4264; jraspante@mcgowanprofessional.com, 732-856-1061)
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ROUNDTABLE NEWS - Access the latest issue of SER's quarterly newsletter, "The Expert's Examiner", by clicking above. All issues, including this one, can also be accessed on the Newsletter tab of our website.
ROUNDTABLE NEWS & MEMBER HIGHLIGHT - SER was honored to comply with a request to assist FINRA's National Arbitration and Mediation Committee (NAMC) Discovery Subcommittee. In conjunction with the accelerating trend of financial professionals migrating to the investment advisory platform, NAMC sought SER’s advice as to how the FINRA discovery guide should be modified to accommodate the expected surge in investment advisor related disputes. Ross Tulman (Director Emeritus and two time past President), and Jeffery Schaff (also a two time past President), independently provided detailed responses that were submitted to the NAMC.
Richard (Rick) Berry, Director of FINRA Dispute Resolution Services, shared that the Subcommittee has met numerous times and has scheduled three more in person meetings throughout 2025. Rick thanked SER “for providing its expertise to the Subcommittee regarding the BD/IA portion of the Subcommittee’s work." Rick shared the Subcommittee is updating the entirety of the Discovery Guide. Once the Subcommittee finishes its work, "it’s off to the FINRA Board, and then a rule filing with the SEC, public comment, and eventually, approval."
As a dispute neutral organization, part of SER's core purpose is to help improve the dispute resolution process in areas where we can be of assistance.
ROUNDTABLE NEWS - SER's Practice Management Committee (PMC) hosted a member only webcast on Friday December 6th. "Visibility Matters: Mastering SEO to Grow Your Expert Witness Practice” was an hour long webcast designed to equip members with the knowledge and tools needed to effectively leverage Search Engine Optimization (SEO) strategies to enhance visibility and attract more clients. Guest Speaker Jaryn Dominique, Chief Deviant Officer of Deviant Digital Services, shared with members the steps to take to enhance their online presence, driving more inquiries and opportunities to significantly increase their visibility in a competitive market. The event was well attended with very positive feedback! SER members can access the recording in our Library. This is the first in a series of webcasts planned by the PMC. Committee members include Chair Colleen Diles, Co-Chair Alan Bensoff, Paul Carroll, Jerry DeNigris, Jeffrey Holik, Robert N. Jones, Jeffery E. Schaff and Gordon Yale. Make sure to keep posted on upcoming events by visiting our Upcoming Events!
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MEMBER HIGHLIGHT - SER member Colleen Diles spoke at the National Society of Compliance Professionals (NSCP) Conference in October. Ms. Diles, a current SER Director, addressed FINRA’s regulatory practices in response to the evolving landscape of remote work. The panel: Remote Supervision Pilot Program and Residential Supervisory Locations (RSLs), addressed key aspects of FINRA's remote inspections and the designation of RSLs amid the growing trend of flexible work arrangements. Along with her fellow panelists, Colleen discussed the RSL impact to firm supervisory programs, governance, risk assessments, and quarterly reporting. This is the second year Ms. Diles has been a panelist at the NSCP conference.
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