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Securities Experts Roundtable

Securities Experts Roundtable members provide consulting, expert testimonial, or other services in securities and commodities dispute resolution and securities litigation and arbitration. Our securities experts include expertise in supervision, suitability, margin, damages, options and portfolio analysis.

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Securities Experts Roundtable | securitiesexpert.org Reviews
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Securities Experts Roundtable members provide consulting, expert testimonial, or other services in securities and commodities dispute resolution and securities litigation and arbitration. Our securities experts include expertise in supervision, suitability, margin, damages, options and portfolio analysis.
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3 securities consulting
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Securities Experts Roundtable | securitiesexpert.org Reviews

https://securitiesexpert.org

Securities Experts Roundtable members provide consulting, expert testimonial, or other services in securities and commodities dispute resolution and securities litigation and arbitration. Our securities experts include expertise in supervision, suitability, margin, damages, options and portfolio analysis.

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securitiesexpert.org securitiesexpert.org
1

Regulatory Advocacy -- Securities Experts Roundtable

http://www.securitiesexpert.org/regulatory_advocacy.php

Who We Are and What We Do. SER's 9/28/2012 comments on electronic eavesdropping. FINRA 11/9/2012 Response to the above.

2

Committees — Securities Experts Roundtable

http://www.securitiesexpert.org/committees.php

Who We Are and What We Do. Gerald A. Guild. Mission: To maintain liability insurance for the organization and it's officers and directors. To examine and offer to members benefits in the areas of insurance, including liability, medical and life insurance, travel, purchasing, credit, etc. Richard P. Ryder. Charles W. Ranson. Gerald A. Guild. Bruce S. Foerster. Jeffery E. Schaff. Gerald A. Guild. John T. Foster. Henry R Ferguson, CAMS. Bruce S. Foerster. Jeffery E. Schaff.

3

Securities Experts Roundtable

http://www.securitiesexpert.org/whoweare.php

Who We Are and What We Do. The Securities Experts Roundtable (SER) is a group of professionals with significant experience as testifying and consulting experts in securities, business and investment-related litigation. SER traces its founding to a 1993 gathering of a small group of expert witnesses who knew and enjoyed each others company and found benefit sharing experiences and expertise. Founder members literally held early meetings seated at a large round table in the hotel where they gathered. In ad...

4

Securities Experts Roundtable — Best Ethical Practices

http://www.securitiesexpert.org/best_ethical_practices.php

Who We Are and What We Do. Best Ethical Practices for Experts has been adopted by the members of SER as of July 25, 2008. Best Ethical Practices for Experts. The expert will at all times be truthful in rendering his/her opinion. The purposes of expert testimony are to assist the trier of fact in understanding complex issues as well as to opine on industry practices. The expert should not agree to participate financially either directly or indirectly in the success or failure of a case. All billings shoul...

5

Securities Experts Roundtable

http://www.securitiesexpert.org/index.php

Who We Are and What We Do. A Sample of Our Experts. George H. Friedman. Principal, George H. Friedman Consulting, LLC. Arbitration, Mediation, Dispute Resolution, FINRA Arbitration, FINRA Mediation, Arbitrator Selection, Law School Teaching. Applied Financial Research LLC. Analytics Bonds CDOs CMOs Commodities Convertible investments Damages Hedging Financial Analysis Financial Indices Foreign Exchange Forward and Futures Contracts Litigation. Sidney D. Krasner. Principal, SD Krasner Associates. Due Dili...

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Affliations

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Securities Experts’ Roundtable. Securities Experts’ Roundtable, Inc.’s members provide consulting, expert testimonial, or other services in securities and commodities dispute resolution and related matters. An international bar association whose members represent investors in disputes with the securities industry. Life Mark Securities Corp. Insurance and Securities Regulatory Consulting. ISRC is the ultimate resource for expert knowledge of the financial services industry. Our insights and strategies...

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SEC Tea Party: DTC Action Reversed and Remanded

http://secteaparty.blogspot.com/2012/03/dtc-action-reversed-and-remanded.html

Commentary on SEC Administrative Opinions. You can observe a lot just by watching.". We do not distain to borrow wit or wisdom from any man who is capable of lending us either.". Henry Fielding, Tom Jones. In our complex society the accountant's certificate and the lawyer's opinion can be instruments for inflicting pecuniary loss more potent than the chisel or the crowbar.". United States v. Benjamin,. 328 F2d 854, 862 (2d Cir. 1964). DTC Action Reversed and Remanded. International Power Group, Ltd.

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SEC Tea Party: It's Been Too Long - 12j Suspension Imposed

http://secteaparty.blogspot.com/2012/06/its-been-too-long-2j-suspension-imposed.html

Commentary on SEC Administrative Opinions. You can observe a lot just by watching.". We do not distain to borrow wit or wisdom from any man who is capable of lending us either.". Henry Fielding, Tom Jones. In our complex society the accountant's certificate and the lawyer's opinion can be instruments for inflicting pecuniary loss more potent than the chisel or the crowbar.". United States v. Benjamin,. 328 F2d 854, 862 (2d Cir. 1964). It's Been Too Long - 12j Suspension Imposed. Robert M. Fusfeld. Simple...

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SEC Tea Party: Muni Adviser and Rating Agency Bars Not Retroactive Under Landgraf

http://secteaparty.blogspot.com/2012/12/john-w.html

Commentary on SEC Administrative Opinions. You can observe a lot just by watching.". We do not distain to borrow wit or wisdom from any man who is capable of lending us either.". Henry Fielding, Tom Jones. In our complex society the accountant's certificate and the lawyer's opinion can be instruments for inflicting pecuniary loss more potent than the chisel or the crowbar.". United States v. Benjamin,. 328 F2d 854, 862 (2d Cir. 1964). Muni Adviser and Rating Agency Bars Not Retroactive Under Landgraf.

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SEC Tea Party: FINRA Denial of Membership Application Upheld

http://secteaparty.blogspot.com/2012/12/finra-denial-of-membership-application.html

Commentary on SEC Administrative Opinions. You can observe a lot just by watching.". We do not distain to borrow wit or wisdom from any man who is capable of lending us either.". Henry Fielding, Tom Jones. In our complex society the accountant's certificate and the lawyer's opinion can be instruments for inflicting pecuniary loss more potent than the chisel or the crowbar.". United States v. Benjamin,. 328 F2d 854, 862 (2d Cir. 1964). FINRA Denial of Membership Application Upheld. Asensio and Co., Inc.

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2005 DELAWARE INVESTMENT EDUCATION CONFERENCES. RADIO SHOW seg 1. RADIEO SHOW seg 2. RADIO SHOW seg 3. WHY HIRE A SECURITIES EXPERT? ARTICLES WRITTEN BY DOUGLAS J. SCHULZ. NO DUTY - DOES SUITABILITY APPLY. PERILS OF THE NET TRADER. IF YOU ARE AN ATTORNEY. IF YOU ARE A BROKER. ONLINE AND INTERNET TRADING. Email Mr. Schulz. The Book, Brokerage Fraud is a must read for all compliance professionals and brokerage firm's compliance and legal departments. Jordan E. Goodman, author of Everyone's Money Book.

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Securities Experts Roundtable

Who We Are and What We Do. A Sample of Our Experts. Vice President, Thornapple Associates Inc. Summit , NJ. Prime Brokerage, Portfolio Margin, Margin, SMA, TIMS, SPAN, risk management, operations services, trade capture, trade routing, OMS, central counter party clearance, settlement,. James L. Rothenberg. Sole Practitioner, Law Office of James L. Rothenberg . President, Tilkin Group. Partner, Walsh, Pfeffer and Co. Port Washington, WI. Mason Alan Dinehart III. Raymond L. Aronson. Palm Beach Gardens, FL.

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SecuritiesExpertWitness.com is your source for securities expert witnesses, expert witness services, case analysis for securities cases, NASD securities expert witness services, investments, securities, and other experts for your professional needs. Securities Expert Witness will direct you to the investments expert you need. Securities Expert Witness and NASD Case Analysis. Securities Expert Witness will guide you to the expert you need for your NASD, securities, investments or brokerage-related case.

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