Amato Presents Webinar On Investment Product Suitability And Investment Abuse
November 28, 2006
Ronald M. Amato, a securities practice group associate at SNSFE, presented an online seminar, "Protecting Yourself In Bull And Bear Markets: What Investors, Their Accountants and Advisors Should Know About Investment Product Suitability and Investment Abuse."
Ron discussed the need for investors to diligently monitor their investment portfolios regardless of market conditions to avoid falling victim to investment fraud, such as churning, unauthorized trade, speculative stocks, selling away, and margin, noting that investment fraud, as well as advisor incompetence through improper asset allocation, imprudent advice, and/or the sale of unsuitable products, can wreak havoc on investor portfolios.
He also noted that accountants and advisors can add value to client relationships by detecting and addressing suspected wrongdoing or mismanagement.
View Ron's presentation.
PDF of color slides
PDF of b&w slides for notetaking
For more information on this topic and how SNSFE's securities practice group can help you, please contact Ron at 312.621.4400 or RAmato@SNSFE-law.com.
Upcoming Events
Upcoming Webinars
Previous Webinars
Ronald M. Amato, a securities practice group associate at SNSFE, presented an online seminar, "Protecting Yourself In Bull And Bear Markets: What Investors, Their Accountants and Advisors Should Know About Investment Product Suitability and Investment Abuse."
Ron discussed the need for investors to diligently monitor their investment portfolios regardless of market conditions to avoid falling victim to investment fraud, such as churning, unauthorized trade, speculative stocks, selling away, and margin, noting that investment fraud, as well as advisor incompetence through improper asset allocation, imprudent advice, and/or the sale of unsuitable products, can wreak havoc on investor portfolios.
He also noted that accountants and advisors can add value to client relationships by detecting and addressing suspected wrongdoing or mismanagement.
View Ron's presentation.
PDF of color slides
PDF of b&w slides for notetaking
For more information on this topic and how SNSFE's securities practice group can help you, please contact Ron at 312.621.4400 or RAmato@SNSFE-law.com.
Upcoming Events
Upcoming Webinars
Previous Webinars
