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Best of the Best Practice Management & Business Development Ideas

Description

Take your securities expert witness practice to the next level and learn how SER’s Practice Management Committee, a highly experienced panel of successful entrepreneurs, have started, built, and are operating thriving securities expert witness practices in 2023. Learn about tried-and-true practice management tips and some of the most innovative business development techniques that you can implement today. Moderated by Practice Management Chair Bob Lawson, the panel includes Committee members Patrick Dennis, Mason Dinehart, Jack Herrmann and Keith Loveland. This must-see webcast is geared for both newer and the most experienced SER members and will help you elevate your securities expert witness practice to the next level. There will be plenty of time for Q & A, so don’t miss this live webcast and be prepared to take some good notes.

Time

Mar 7, 2023 01:00 PM in Eastern Time (US and Canada)

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Message preview	Hi there, You are invited to a Zoom webinar. When: Mar 7, 2023 01:00 PM Eastern Time (US and Canada) Topic: Best of the Best Practice Management & Business Development Ideas Register in advance for this webinar: https://us06web.zoom.us/webinar/register/WN_jzunLYHcS0CQLfeG4t6glA After registering, you will receive a confirmation email containing information about joining the webinar. IF YOU DO NOT RECEIVE THIS EMAIL, PLEASE CHECK YOUR SPAM FOLDER. ---------- Webinar Speakers Robert D. Lawson (FINRA and Compliance Expert, Certified Fraud Examiner @Barrington Financial Consulting Group, Inc.) As an Expert Witness and Certified Securities Compliance Professional (CSCP®), Bob has advanced proficiency in securities, fiduciary, and insurance compliance practices. He is the President and Chief Compliance Officer of Barrington Capital Management, Inc., a Registered Investment Adviser (RIA) and Insurance Agency he established in 1988. He serves as President and Managing Principal of Barrington Financial Consulting Group, Inc., a securities and insurance litigation support firm. As a Securities & Insurance Expert Witness and Litigation Support Consultant, Mr. Lawson is retained by claimants or respondents for FINRA arbitrations, mediations, and court settings. He speaks with clarity and precision and his expert opinions are founded upon years of experience and thorough understanding of industry rules, standards of professional conduct, ethics and conflicts of interests, regulatory risk management, and books and records. Patrick M. Dennis (Broker/Dealer Compliance, Regulatory Expert, FINRA Arbitrator @Oyster Consulting, LLC) Patrick M. Dennis has been involved in the securities industry for over 35 years, most recently as one of the Founding Principals of Oyster Consulting, LLC. He has held CCO positions at broker/dealers, investment advisors and dual registrants. Prior to Oyster, Patrick was Sr Vice President and Assistant General Counsel to Wachovia Securities, LLC (now Wells Fargo Advisors). From 1998 to 2003 he managed the firm’s most significant securities litigation and arbitration matters. He served in the Senior Regulatory Counsel position until 2008, handling the most high-profile regulatory matters for the firm. Prior to that, he was Senior Regulatory Counsel to Wachovia’s Investment Advisory line of business. Patrick began his legal career in 1986 at the SEC, Division of Corporation Finance until 1989. He was Senior Counsel in the SEC’s Division of Enforcement in Washington, D.C. from 1991 to 1996. Mason Alan Dinehart III (Well-Known Successful Securities Expert, Marketing Pro @FEND - Financial Education Network Development) FEND, through Mason A. Dinehart III, RFC, provides objective expert witness opinions on the standard of care in the securities industry, based upon discovery, due diligence, technical knowledge and the four decades of securities experience he brings to the case. From a long-standing banking background in corporate finance, to underwriting and investment banking & real estate experience, he adds a strong knowledge of modern portfolio theory through the teaching of hundreds of retirement financial planning seminars at the corporate level. FEND* provides a refreshing prospective in the securities expert witness testifying arena that combines comprehensive analysis with effective communication skills. These factors, along with serving as a FINRA arbitrator and representing both claimant’s and respondent’s (65%/35%), contribute to a 90% success ratio in the securities expert witness field. All of Mr. Dineharts’ securities licenses are current (7, 24, 63, 65, 79 & 99). Jack Herrmann (Highly Experienced Securities Expert, Mediation Consultant @Herrmann Dispute Resolution Services, LLC) Jack Herrmann graduated from Phillips Academy in Andover, MA and from Washington and Lee University in Lexington, VA earning a Bachelor of Science degree with special attainments in Business Administration. Jack Herrmann has over thirty (30) years of experience in the investment business, including serving clients as a broker, Portfolio Manager and founder of a private Registered Investment Advisory firm. His managerial assignments included serving as Branch Manager, Resident Managing Officer and a Manager of Branch Administration. He has provided investment consulting and advisory services to the U.S. Department of Justice in Washington, DC; a state agency; a state Bar Foundation; bankruptcy Trustees; law firms; private foundations; Trusts and Estates; businesses; professional groups; individuals and families. For ten (10) years Jack Herrmann served on the Board of a private foundation, and the last three years served as Chair of the Finance and Investment Committee. Keith Loveland (Nationally Recognized Attorney, Securities & Fiduciary Expert @Loveland Consulting) Keith Alden Loveland is a nationally recognized attorney, author, consultant and teacher within the fields of investments, securities and securities offerings, ethical versus fraudulent practices regarding investments and securities, and fiduciary matters. He has been qualified as an expert regarding the above matters in state and federal courts, and in AAA and NASD/FINRA arbitrations, and also has served as an arbitrator and qualified neutral mediator. Keith currently serves as a subject matter expert to the North American Securities Administrators’ Association [NASAA]; he previously served as a subject matter expert to the New York Stock Exchange [NYSE] Qualification Committee. He is a member of the American Bar Association, Business Law Section, Committee on Federal Regulation of Securities, and Committee on State Regulation of Securities. A member of the Financial Planning Association since 1983, he served a three year term on their Board of Directors from 2011-2013.

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