Senior Investor Protection Regional Workshop

Date

February 23, 2018

Location

Charlotte, NC

Overview

Join SIFMA for a morning of practical learning and information sharing among key stakeholders on how best to protect our senior investors.

The unique program will educate participants on the impact of cognitive decline; the anatomy of an investigation; recent legal and regulatory development; and promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline. Plus, participants will tackle real-life scenarios from beginning to end in a small-group setting.

This morning event will take place at LPL Financial in Fort Mill, SC, just outside of Charlotte, NC.

Pricing

Member
Registration Rates $49
Non-Member
Registration Rates $99
Regulator
Registration Rates $49
Pricing
Member Non-Member Regulator
Registration Rates $49 $99 $49

Program

8:00am – 8:30am

Registration & Continental Breakfast

8:30am – 8:40am

Participants

Tracy Calder

Speaker

Tracy Calder

Managing Director, Deputy Chief Legal & Risk Officer

LPL Financial LLC

Tracy Calder’s Biography

8:40am – 8:50am

A brief overview of some of the latest research concerning the aging brain and financial decision-making.

A brief overview of some of the latest research concerning the aging brain and financial decision-making.

Participants

Marin E. Gibson

Speaker

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

8:50am – 10:05am

What do investigations into senior financial exploitation look like, and how do they differ, from the perspective of financial firms; adult protective services; and law enforcement.

What do investigations into senior financial exploitation look like, and how do they differ, from the perspective of financial firms; adult protective services; and law enforcement.

Participants

Monica Buchheit, Leo Bohland, John C. Curry, John Zuck

Moderator

Monica Buchheit

Senior Manager, Senior Investor Support Team

Charles Schwab & Co., Inc.

Monica Buchheit’s Biography

Panelists

Leo Bohland

Manager Adult Social Work Services

Mecklenburg County Government

Leo Bohland’s Biography

John C. Curry

Special Agent in Charge, Securities Division

North Carolina Secretary of State

John C. Curry’s Biography

John Zuck

Assistant Vice President & Associate Counsel

LPL Financial LLC

John Zuck’s Biography

10:05am – 10:20am

Networking Break

10:20am – 10:30am

Take a brief look into the recent legal developments, including the new Report & Hold laws and rules.

Take a brief look into the recent legal developments, including the new Report & Hold laws and rules.

Participants

Lisa J. Bleier

Speaker

Lisa J. Bleier

Managing Director and Associate General Counsel

SIFMA

Lisa J. Bleier’s Biography

10:30am – 11:45am

Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

Panelists will discuss promising practices to help prevent, spot and address situations of financial exploitation and cognitive decline.

Participants

Kyle R. Innes, Sarah Gill, Erin Linehan, Brian Shobert

Moderator

Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel

SIFMA

Kyle R. Innes’s Biography

Panelists

Sarah Gill

Senior Vice President & Associate General Counsel

LPL Financial LLC

Sarah Gill’s Biography

Erin Linehan

Associate General Counsel, Compliance

Raymond James Financial, Inc.

Erin Linehan’s Biography

Brian Shobert

First Vice President, Market Administration Manager, Central NC Market

Wells Fargo Advisors

Brian Shobert’s Biography

11:45am – 1:00pm

A hands-on session where participants will walk through multiple exploitation/decline situations in small groups.

A hands-on session where participants will walk through multiple exploitation/decline situations in small groups.

1:00pm – 1:15pm

A wrap-up session to discuss lessons learned during the breakouts

A wrap-up session to discuss lessons learned during the breakouts

1:15pm – 2:30pm

Networking Lunch

Venue

LPL Financial

1055 LPL Way
Fort Mill, SC 29715

LPL Financial is located in Fort Mill, South Carolina, which is approximately 15 miles outside Charlotte, North Carolina.

Accreditation

Certified Financial Planner Credits (CFP)


This year’s program is eligible for up to 6.5 CFP credits.

CLE Credit

CLE Credit

SIFMA has been certified by the New York State Continuing Legal Education Board as an Accredited Provider of continuing legal education in the State of New York. Parts of this program will be available for CLE credits. Fee reduction may be available for qualified registrants. SIFMA will offer CLE credits for the following states:

  • California
  • Colorado
  • Florida
  • Missouri
  • New Jersey
  • New York
  • North Carolina
  • South Carolina
  • Texas

It is the responsibility of the registrant to comply with all rules and regulations governing the jurisdictions in which the attendee is seeking credit. Panel attendance must be certified by each registrant seeking CLE credits. Attendees do not need to certify after each panel. CLE Credit cannot be certified after the Seminar adjourns.

Media

Media Inquiries
Contact Lindsay Gilbride at 202.962.7390

Media Registration
Contact Emily Reinus at 212.313.1339.

Policy
View SIFMA’s official press policy.

Terms and Conditions

Code of Conduct
SIFMA meetings and events are intended to educate and engage our members and industry participants in thoughtful conversations. Inappropriate behavior will not be tolerated. SIFMA defines inappropriate behavior as any possible illegal conduct, verbal or physical abuse of any type, use of derogatory or discriminatory language, gestures or actions, unwanted invasions of privacy, any form of harassment, racism, sexism, or any other targeted comments which are intended to cause personal offense to another participant either in-person at the event or through social media channels, or the violation of any local, state, or federal laws or regulations.

If you are involved in or witness an incident at a SIFMA meeting or event that violates this Code of Conduct, please use this anonymous incident report form to let SIFMA know immediately. Please provide as much information as possible about the incident so that we can make a proper investigation. Any violations of law should be reported to law enforcement authorities.

SIFMA will investigate any reported incidents swiftly and confidentially if possible. SIFMA, at our discretion, may act on any reports of inappropriate behavior, including but not limited to removing a participant from the meeting or event and/or bar that person from attending future SIFMA meetings or events. SIFMA shall not refund any money paid for such attendee to attend the meeting or event, or for any travel expenses incurred to attend.

Attendee Roster
For your name to be included in the Attendee Roster, your completed registration form and payment must be received no later than two weeks prior to the event. Registrations received after that time will not be included in the Roster.

Substitutions
Conference registration substitutions are welcome. Email [email protected] with the following information and we will confirm the change: original registrant’s full name, substitute registrant’s full name, mailing address, title, phone and email.

Cancellations
Refunds will be granted for cancellations made three weeks prior to the start of the event. All cancellation requests are subject to a $100 processing fee and must be made in writing.