Coming Soon: Securities Fraud Training
Date: Wednesday, August 7th, 2019
Place: Folsom Police Department
46 Natoma Street
Folsom, CA 95630
Time: 8:00 a.m. – 1:30 p.m.
CPE Credits: 4
P.O.S.T. CPU’s: 4
RSPV: To ensure your BUILDING ACCESS, RSVP via email to: email@example.com by Friday, August 2, 2019. Room capacity is limited, please, SIGN UP EARLY!!!
Cost: IAFCI Members – $30.00 (cash or check at sign-in) Non-Members (Approved attendees) – $60.00 prepay preferred, cash or check at sign -in
Registration / Coffee / Pastries Networking and Roundtable Introductions
8:00am – 8:30am
8:30am – 12:30pm
This presentation will discuss California Securities Laws in relation to the primary felony violations of unlicensed activity and securities/investment fraud under the California Corporations Code. This presentation will cover current trends in securities fraud and discuss the recent emerging trends in investment fraud and will use inclass exercises.
Danielle Stoumbos is Senior Counsel for the California Department of Business Oversight’s Enforcement Division based in the Los Angeles office. Danielle investigates and litigates securities, franchise, and finance lending civil and administrative actions. Prior to joining the Enforcement Division, Danielle analyzed securities qualification and franchise registration applications, and conducted fairness hearings in the Department’s Securities Regulation Division. Danielle is currently on the NASAA Enforcement Publications and Manuals project group. Before joining the Department, Danielle litigated consumer class actions and mass torts in San Francisco. Danielle graduated magna cum laude from the University of San Francisco School of Law, where she represented investors in the Investor Justice Clinic, and was a member of the SEC’s Student Honors Program.
Joanne Ross is a Senior Counsel in the Enforcement Division at the Department of Business Oversight in Sacramento. Ms. Ross has worked on over 100 cases for the Department, including cases that have involved criminal convictions. She has over fifteen years’ experience in the securities industry. Ms. Ross attended Sonoma State University in Sonoma County and UC Hastings College of Law in San Francisco.
12:30pm – 1:00pm
Holiday Fraud Prevention Training Meeting
Thursday November 7th 8am-11:30am Location TBA
February 4th, 2020 8am-11:30 am Location TBA
Annual Financial Crime Symposium ( Please attach Symposium Logo which I have attached)
Wednesday September 16, 2020 More information to come…..