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Free cpe webinars
Identifying Investment Scams and Protecting Your Clients

IDENTIFYING INVESTMENT SCAMS AND PROTECTING YOUR CLIENTS

Cost Free
Presentation Length 1.0 hour

Recorded DateJanuary 20, 2022
CPE:Not available
(archived webinars do not offer CPE credits)
Subject AreaFinance
Course LevelBasic
Course Description

As many financial firms have taken their turn in recent headlines, we’ve come to the alarming realization that even the largest and most powerful investment firms aren’t afraid to place their own interests ahead of their clients. Often, when we pull the curtain back, we find a very sleazy business in a very expensive suit. This course aims to unveil certain practices that your clients may have fallen victim to and how to address the issues. Preventative steps will also be shared so that you are able to provide valuable guidance.

Learning Objectives:


  • Determine if your clients have been cheated

  • Identify what to look for to uncover problems and wrongdoing and, most importantly, what can you do about it

  • Evaluate preventative measures to take so your clients are not taken advantage of

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PLEASE NOTE: ARCHIVED WEBINARS DO NOT QUALIFY FOR CPE
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Tony Fiorillo started his career in tax and accounting, preparing over 6,000 tax returns in 15 years before focusing exclusively on investment services. He is the founder and President of Asset Management Strategies, Inc., a Registered Investment Advisory working with clients nationwide networking through their relationships with law firms, CPAs, and other financial services professionals, sharing management fees under the Solicitation Agreement of the Investment Advisors Act of 1940.

  • BA in Economics - Eastern Illinois University
  • International Business - University of London
  • Investment Decisions and Behavioral Finance - Harvard University
  • Served as Controller of a multi-state produce distribution company for three years.
  • Served as Chairman of the Indiana Council for Economic Education which provides continuing education programs to K-12 teachers and sponsors “The Stock Market Simulation Game” attracting 22-24,000 student participants each year
  • Held designations as a Registered Securities Principal, as well as a Registered Securities Representative with a national NYSE, registered broker-dealer, member NASD/SIPC. 

Authored, or been quoted in, a variety of publications including the Wall Street Journal, Bloomberg Wealth Management, Money Magazine, Smart Money, Indianapolis Star, Indianapolis Business Journal, and accounting trade journals.  He has spoken at planning conferences from London to Cabo San Lucas, Aruba to Vancouver, and across the US. He has taught investment classes on the high school and collegiate levels.  He is the former co-host of “The Asset Management Strategies Show” weekly radio program.
 

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Mark Maddox is the founder of Maddox Hargett & Caruso PC specializing in securities litigation.

  • BA from Wabash College
  • JD from Vanderbilt University School of Law
  • Former Commissioner of Securities State of Indiana
  • Former Chairman of the International Enforcement Committee of the North American Securities Administrators Association
  • Former President of the Public Investors Arbitration Bar Association
  • Former Chairman of the NASD National Arbitration and Mediation Committee
  • Member of the Non-Public Arbitration Panel of the Financial Industry Regulatory Association
  • Served on FINRA’s Arbitration Task Force
  • The firm attained an $11 million dollar judgement against the brokerage firm Stratton Oakmont which was portrayed in the movie “The Wolf of Wall Street” representing over 50% of the victims and recovering over 50% of the client losses through SIPC.
  • The firm also attained a record high $268 million judgement against a Prudential Securities retail broker
  • Represented many clients from high profile cases such as Bernie Madoff and Marcus Schrenker, who faked his own death by parachuting out of his airplane
  • Regularly quoted by the local and national media on securities-related issues. These outlets include: The New York Times, The Wall Street Journal, Los Angeles Times, Washington Post, Business Week, Boston Herald, Indianapolis Business Journal, Indianapolis Star, Indianapolis News, USA Today, Securities Week, Newsday, Investment News, Indiana Lawyer, Money Magazine, Registered Representative Magazine, Compliance Reporter, Seattle Times, Chicago Tribune, Dow Jones Newswires, The Street.com, SmartMoney and BusinessWeek.

About Our Presenter

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Our office is headquartered in the Indianapolis Metro area and we serve clients throughout the US. We have been in operation as a Registered Investment Advisory since 2005. Prior to that, we operated as a branch office of a major national broker/dealer focusing on fee – only asset management since 1995 and were licensed with a number of other firms dating back to 1985.