Indiana State Bar Association
Home    September 21, 2014
Securities Law: When Broker ... Means Broker
Start Date/Time: Tuesday, December 18, 2012 7:30 AM
End Date/Time: Tuesday, December 18, 2012 9:00 AM
Recurring Event: One time event
Importance: Normal Priority


1 hr. CLE

Registration & Continental Breakfast: 7:30 a.m.

CLE Program: 8-9 a.m.
Regions Bank Building Conference Center (5th floor) in downtown Indy
Live Program: Investment fraud and stockbroker misconduct can happen to anyone who has money to invest. Sometimes fraud is committed by a negligent stockbroker or financial advisor who knowingly or unintentionally misrepresents certain investments. Other times, it’s a greedy spouse who makes unauthorized transactions in their spouse’s brokerage account.
Speaker: Mark E. Maddox, former Indiana Securities Commissioner and founder of Maddox Hargett & Caruso, P.C., illustrates the world of investment fraud with these and other real-life cases. A nationally recognized legal expert in securities arbitration, he shows investors how to spot red flags of potentially “bad” investments, why using a FINRA-accredited broker or investment firm is important, and some of the financial products, including variable life insurance policies, non-traded REITs, private placements and investments geared to the elderly, behind many of today’s fraud schemes.

Owned by ISBA ADMIN On Monday, November 26, 2012


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