PRESIDENT'S MESSAGE by Robert Graham

"What a privilege it was for me to be entrusted to preside over the 31st annual conference for the Securities Expert Roundtable (SER) in Boston. This year, we focused on member-to-member engagement and networking, hands-on workshops to enhance member competencies and presentations from impressive talent from the academia, legal and regulatory fields. Our keynote speaker touched on family, patriotism, respect and leadership under stress. With much appreciation, I want to thank all Guest Speakers, Members Speakers and all Attendees who joined us this year!"

REG BI PANEL with Christine Lazaro, Stephen Bouchard, Peter Tepley and James Wrona

We extend a huge thank you to our esteemed panel for sharing their in-depth knowledge on the current status and future expectations of Reg BI. Moderated by SER member Jeffery Schaff, this session was broadcast live via Zoom to attorneys, experts and others in the securities dispute resolution space. You can access speaker materials and the recording if you could not attend.

Use Passcode FQ+L+!33 to view recording.

FINRA DISPUTE RESOLUTION SERVICES UPDATE by Richard Berry

We are honored that Rick Berry continues to present at the SER Conference every year. This year, Rick brought members up to speed on the Lowenstein Recommendations, New Expungement Rules, Case Filings and Trends, Diversity of the Neutral Roster, Recent Rule Proposals, Recent & Future Enhancements and the SEC Report on Investment Advisor Arbitration. Thank you Rick!

Other Panels & Workshops

Much appreciation to SER members who shared their expertise as Moderators and Panelists on timely topics and enhanced expert skills:

Current Opportunities Related to Fiduciary & ERISA Issues: Stuart Ober with Keith Loveland, Jeffery Schaff, and Ross Tulman.

Testimonials of a Challenging Case: Jerry DeNigris with Elizabeth Falk and Lori Raineri.

The Current Financial Landscape and Future Case Trends: David C. Hinman, with Marty Dirks, Stuart Rosenthal, and special guest panelists, Jonathan Borck, Vice President of Analysis Group.

Roundtable Workshops:

Preparing for Deposition or Cross Examination- 

Bob Lawson; James Kyprios and Bill Purcell

Writing an Effective Expert Report-

Richard Leisner; James Kyprios and Bill Purcell 

Past President's Perspective- 

Paul Carroll; Bruce Foerster

Special thanks to this year's Keynote Speaker, Garry McCarthy, for his heartfelt stories of leading under pressure. From the New Member/First Time Attendee Breakfast on Friday morning through Saturday Night's Closing Dinner, members made new connections and strengthened current friendships with colleagues while sharing their common experience of being an expert witness. See you next year!

View the Full Agenda and Conference Details including Speaker Bios below. Download this year's Event Guide. SER members can access all conference materials by logging 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.

Attorneys can Search for and Contact our Experts Directly.

Many Thanks to Sponsors of SER's 2023 Conference!

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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.