Overview

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

This 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.

Participants will have the opportunity to meet the Elder Justice Coordinator for the Eastern District of Kentucky as well as tackle real-life scenarios, from beginning to end, in a small group setting.

This regional workshop will take place at Fidelity Investments in Covington, KY – approximately 10 miles outside of Cincinnati, OH.

Senior Investor Protection Regional Workshop

Date

July 10, 2019

Location

Cincinnati, Ohio

Overview

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

This 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.

Participants will have the opportunity to meet the Elder Justice Coordinator for the Eastern District of Kentucky as well as tackle real-life scenarios, from beginning to end, in a small group setting.

This regional workshop will take place at Fidelity Investments in Covington, KY – approximately 10 miles outside of Cincinnati, OH.

Program

8:00am – 8:30am

8:30am – 8:40am

Participants

Marin E. Gibson

Speaker

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’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

Kyle R. Innes, Melissa Hegger Shea, Janice Hitzeman, Stephanie C. Hull, MSW/LSW, Mary Trotman

Moderator

Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel

SIFMA

Kyle R. Innes’s Biography

Panelists

Melissa Hegger Shea

Vice President and Associate General Counsel, Legal

Fidelity Investments

Melissa Hegger Shea’s Biography

10:05am – 10:20am

Networking Break

10:20am – 10:35am

Participants

Kathryn Anderson

Speaker

10:35am – 10:45am

Participants

Kyle R. Innes, Niccole A. Rivero

Speakers

Kyle R. Innes

Assistant Vice President, State Government Relations and Assistant General Counsel

SIFMA

Kyle R. Innes’s Biography

Niccole A. Rivero

Associate, Federal Government Relations

SIFMA

Niccole A. Rivero’s Biography

10:45am – 12:00pm

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

Gary Klein, Keith E. Grindstaff, Debbie Noury CFE, CFCI, Joelle A. Simms, Don Steel

Moderator

Gary Klein

Vice President and Assistant General Counsel

Fifth Third Bank

Gary Klein’s Biography

Panelists

Keith E. Grindstaff

Director, Legal Counsel

Charles Schwab & Co., Inc.

Keith E. Grindstaff’s Biography

Debbie Noury CFE, CFCI

Senior Director, Elder Financial Exploitation Investigations

Fidelity Investments

Debbie Noury CFE, CFCI’s Biography

Don Steel

President & Chief Executive Officer

Planned Investment Co., Inc.

Don Steel’s Biography

12:00pm – 1:15pm

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.

1:15pm – 1:20pm

Participants

Marin E. Gibson

Speaker

Marin E. Gibson

Managing Director and Associate General Counsel

SIFMA

Marin E. Gibson’s Biography

1:20pm – 2:00pm

Networking Lunch

Venue

Fidelity Investments, Cincinnati

100 Magellan Way
Covington, KY 41015

Accreditation

Certified Financial Planner Credits (CFP)


This 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 Evan Grogan at 212.313.1134.

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. View our Code of Conduct and anonymous incident report form.

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 may not be included in the Roster.

Substitutions: Conference registration substitutions are accepted. 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 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.