PRESIDENT'S MESSAGE by Elizabeth Falk

"It has been an honor and a privilege to preside over the 2024 Securities Experts Roundtable (SER) Conference in Washington D.C. The goal and theme of this year's conference was "A Master Class in Expert Witnessing". In fulfillment of that promise, I brought together nine of SER’s most experienced veteran members who proudly helped me to conceptualize and implement this ambitious conference agenda. I am grateful for their mentorship and for their devotion to our shared mission. These veteran members are Past President and current Executive Director Patricia Koetting, Past President Bruce Foerster, Past President Alan Besnoff, Past President Paul Carroll, Past Board Member Jerry DeNigris, Director Emeritus Jack Herrmann, Past President Richie Leisner, Past Board Member Robert Lowry and Director Emeritus Ross Tulman. A heartfelt thank you to these leaders for their help in making this conference an unequivocal success. I also want to thank our moderators, member panelists, and a stellar group of outside speakers!"

FINRA DISPUTE RESOLUTION SERVICES UPDATE

An annual tradition, Richard W. Berry, Esq., Executive Vice President and Director of FINRA Dispute Resolution Services (FDRS), updated SER members on: Focus Groups for changes to Discovery Guide/Document Production and DR Portal Enhancements; key changes and impacts of New Expungement Rules; Case Filings and Trends; Arbitrator Diversity; Rule Proposals to Discovery in Simplified Arbitration and to NARs; and DR Portal Enhancements. This year Rick was joined by Victoria Crane, Esq., Vice President and Associate General Counsel at FINRA who shared her in depth knowledge of the life cycle of the rulemaking process from conception to implementation.

Thank you Rick and Victoria!

AMERICAN ARBITRATION ASSOCIATION PRESENTS

Incoming SER President Elizabeth Falk moderates a panel that includes Jennifer Rego, AAA's Director of ADR Services for the NE Region, and Jeffrey T. Zaino, Esq., Vice President-Commercial Division. Given AAA's exponential increase in securities cases, primarily within the RIA arena, this panel will discuss the rules and conventions impacting expert witness practice within both divisions (Consumer and Commercial) of the forum and whether AAA plans to provide niche-specific statistics equivalent to those available in the FINRA forum.

Sessions: Moderators & Panelists

Much appreciation to SER members and guest speakers who shared their expertise on timely topics to help enhance member's expert skills.

The Expert Witness Mindset Colleen Diles with guest panelist Jenice L. Malecki, Esq. Malecki Law and Gordon Yale.

Demonstratives: Simplifying Complexity Paul Carroll with Robert N. Jones, Keith Loveland and David F. McNair.

Consulting Engagements Jerry DeNigris with Paul Carroll and Ross Tulman.

Three R's of Report Writing: To Read, To Reason, To Recite Robert Lowry with John Ivan and Ross S. Delston.

Depositions Are Dangerous - To Expert Witnesses Richard Leisner with guest panelists Peter C. Buckley, Esq. Fox Rothschild and Lucian T. Pera, Esq. Adams and Reese LLP.

Testimony-The Road to Credibility Ross Tulman with David Hinman and guest panelist Christine Lazaro, Esq. St. John's University School of Law.

Types of Questions and Styles Experts Face Alan J.Besnoff with Hollie M. Mason and Charles W. Ranson.

American Arbitration Association (AAA) Guest speakers Jennifer Rego and Jeffrey T. Zaino, Esq. of AAA gave members an overview of the arbitration process.

For more details, and full bios, visit the 2024 Conference page. (Members can access materials on the Agenda page once they are logged in.)

From the New Member/First Time Attendee Breakfast on Friday morning, in between sessions, and at meals, members made new connections and strengthened current friendships with colleagues while sharing their common experience of being an expert witness. Special thanks to this year's Keynote Speakers, former FBI informant Tom Hardin (Tipper X) on Friday night at the Opaline Brasserie and Adam H. Nebenzahl, Submarine Warfare Officer, United State Navy on Saturday night at the Army Navy Country Club, for sharing their stories. See you next year in Chicago!

Out-going President Bob Graham called the Annual Member Meeting to order, introducing new members and first time attendees, and presiding over reports from the Membership Chair and Treasurer.

Retiring Directors Alan Besnoff and GG Genco Dube were honored with plaques for their service on the Board.

Alan served two terms for seven years from 2017-2024, as President from 2022-2023, Chaired the 2022 Conference, as well as severing as Membership Chair and Nominating Chair.

GG served four terms for a total of 11 years, from 2007-2013 and 2019-2024, and served as President from 2011-2012. She Co-chaired three conferences (1998, 2009 and 2011) as well as serving as Treasurer, Secretary and on numerous committees.

The honor of Director Emeritus, a special designation bestowed by the Board of Directors, was presented to former Directors Jack Herrmann and Ross Tulman.

Jack's membership goes back many years, severing on the Board for three terms for a total of nine years, he served as Finance Committee Chair and separately as Membership Chair for many years. Jack is always reaching out to newer members to share his knowledge and often sending ideas to Directors to help raise SER's profile and provide more benefit to members.

Ross was at the very first SER meeting in the 1990's and is one of the Original Directors when SER incorporated in 2005. He was the second President, serving in 2006-2007, and again in 2017-2018. Ross Co-Chaired the 1996 conference and Chaired the 2003 and 2017 conferences, as well as serving on various committees. He has the longest conference attendance record of the membership. Ross took a few minutes sharing SER's early history and to honor other Director Emeriti, including Bruce Foerster and Rick Ryder.

Election of new Directors and the President-Elect was the final agenda item. The Nominating Committee's slate was unanimously approved by the Voting Membership in attendance. The Directors added to the Board immediately are Paul Carroll (Past Director), Colleen Diles, Hollie Mason (serving a second term), and Robert Oram. Current Director Patrick Dennis was elected as President-Elect and will preside over the conference in 2025.

Concluding the business of the Membership Meeting, Bob Graham transitioned to Past President and passed the gavel to Incoming President Elizabeth Falk, who will serve for the 2024-2025 session.

SER Members can access all conference materials by logging in when visiting the Agenda page.

Securities Experts Roundtable is the largest member organization of Experts specializing in securities-related dispute resolution. Established in 1993 and incorporated in 2005 as a non-profit 501c(6), SER provides continuing professional education and promotes ethics and integrity among its members while remaining dispute-neutral as an organization.

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Disclaimer: The information in this program is not legal, accounting or other professional advice. All such information is for educational and general informational purposes only. The views expressed in this program are those of the individual presenters in their individual capacities only and are not necessarily the views of their respective employers or SER. All content in this program is provided “as is” and may not constitute the most up-to-date information and may not be free from errors. SER expressly disclaims any and all liability with respect to actions taken or not taken based on the content of this program.