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Title

Investor Education and Fraud Prevention

Speaker(s)/Highlights

Rob Mascio Manager FINRA Security Helpline for Seniors, Kamran Fotouhi, CFA  Managing Director Capital Forensics, Inc.

Start Time

4/24/2018 11:30 AM

End Time

4/24/2018 1:30 PM

Global Passport Eligible?

Yes

Registration


Register H​ere!​​​​​
​​Complimentary Admission, RSVP, space is limited 

Member Price

$0

Non-Member Price

$0

Candidate Price

$0

Location Info

​​Spanish River Library
1501 Spanish River Blvd
Boca Raton, FL 33431​

Event Description

​We seek to educate local residents and will cover investor fraud prevention and education.  Speakers will address real life fraudulent activities in addition to questions that should be asked in conversations covering investing.  Lunch and drinks will be served and reference materials will be provided.  The session will include a Q&A component to cover any questions that may be important to the attendees.

Speakers

2018Rob Mascio - Bio Pic.jpg

Rob Mascio Manager FINRA Security Helpline for Seniors

Rob Mascio has been with FINRA for over 12 years and is currently the Manager for the FINRA Security Helpline for Seniors – HELPS®. Launched in April 2015, the FINRA Securities Helpline for Seniors® is designed to provide senior investors with a supportive place to raise issues and get assistance from knowledgeable FINRA staff members relating to concerns they have with their brokerage accounts and investments. Before assuming the role of Manager for the Helpline, Rob was an Examination Manager within FINRA’s Florida District Office. In this role, he was responsible for supervising a team of examiners tasked with conducting routine examinations of member firms. Prior to moving to the Florida District Office, Rob worked in FINRA’s Market Regulation department where he focused on reviews and investigations of market irregularities and manipulations within the fixed income, equity, and derivatives markets. Rob obtained his undergraduate degree from Salisbury University and his MBA from Florida State University. 

2018KamranFotouhi.jpg

Kamran Fotouhi, CFA  Managing Director Capital Forensics, Inc.

Kamran Fotouhi is Managing Director of Regulatory and Advice for Capital Forensics, Inc. where he works directly with broker-dealers, investment advisors, and legal experts in providing advice and analysis related to internal reviews, investigations, customer complaints, and arbitration matters.  Prior to joining Capital Forensics, Mr. Fotouhi was FINRA's District 6 Surveillance Director and responsible for ensuring the regulatory compliance and oversight of 265 broker-dealers.  His duties included oversite of broker-dealer examinations and ongoing surveillance utilizing data capture techniques and financial submissions to analyze and assess broker-dealers' finances, operations, risk controls, and sales practice conduct. Mr. Fotouhi has served as Compliance Liaison for First Clearing, LLC (an affiliate of Wells Fargo & Co) wherein he worked directly with senior management, legal and compliance in communicating and advising on compliance and risk related issues.  He has also served as a Compliance Auditor for USAA Investment Management Company in San Antonio, TX and a Senior Compliance Examiner for the NASD in Dallas from 1997 to 2001. Kamran began his career in the financial industry as an Assistant Portfolio Manager in 1993 for First Commercial Capital Management and subsequently as a Financial Consultant for Merrill Lynch in 1994.

Mr. Fotouhi received his Chartered Financial Analyst designation in 1999 and his Bachelor of Science degree (Finance) in 1994. He serves as a Director for CFA Society South Florida.​


Event Type

Society; Educational

Society Category

Speaker

Education Topic

Private Wealth Management

Event Region

Americas

CE Credit

0

SER Credit

0

Event Terms

On-site registrations are accepted on an exception basis and are payable with credit card only. To cancel, please email to admin@cfasouthflorida.org  with your name, email address and CFA Society South Florida member ID (same as CFA Institute ID for regular and affiliate members)  if applicable. 

Advance registrations that fail to attend or that fail to cancel prior to 48 hours before the event will be billed at the non-member walk-in rate quoted for the event. If the event is subsidized for both members and non-members, late cancellations and no-shows may be billed at the actual cost per attendee. Cancellations for a full refund must be made at least 48 hours before an event. Registrations cancelled within the last 48 hours prior to an event are not eligible for a refund.​

All Day Event

 

Recurrence

 

End

4/24/2018 1:30 PM

Date

4/24/2018

Event Manager Email

admin@cfasouthflorida.org
Approval Status Approved
 

Attachments

Content Type: MyCFA Calendar
Created at 3/18/2018 12:25 PM by 38
Last modified at 4/15/2018 4:11 PM by 38