Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Experienced professionals assisting broker-dealer and registered investment adviser clients with membership applications, regulatory issues and inquiries, and compliance.
Diles Consulting is proud to announce its sponsorship of the Securities Experts Roundtable (SER) 2026 Annual Member Meeting and Conference, taking
place August 6–7 at the Sofitel Hotel in Washington, D.C. This premier event gathers a distinguished community of securities experts and attorneys
for insights and industry perspectives. As part of this commitment to thought leadership, Colleen Diles, President and Founding Principal of
Diles Consulting, will serve as a featured moderator for the panel "From Search to Selection: How Attorneys Pick Their Experts" during the conference
sessions.
Diles Consulting's Expert Witness services are grounded in credibility, reliability, and objectivity, encompassing consultation, assessment,
report creation, deposition, and testimony, both virtual and in-person. Colleen Diles' 22 years of FINRA experience and over 30 years in the
securities industry inform her areas of expertise, including FINRA programs and risk hierarchy, sales practice issues, FINRA and SEC rules, and
the assessment of internal controls and broker-dealer supervision. Colleen also serves as a Director and Voting Member of the Securities Experts
Roundtable and as an Arbitrator, underscoring her standing within the expert witness community this sponsorship supports.