Securities Spotlight: Combating Common Fraud, Insider and Manipulative Trading Schemes

  • When: October 18, 2017
  • Time: 12:00 PM – 2:00 PM ET
  • Levels: Intermediate – Advanced

Along with reporting large cash transactions, retaining records on wire-transfers and monitoring suspicious activities, there are many unique challenges for compliance professionals in the securities industry that require broker-dealers to keep ahead of the latest securities-based AML and fraud schemes. Schemes such as the use of advanced technologies to disrupt markets or the liquidation of millions of shares of penny stocks can potentially lead to enforcement actions, expensive remedial measures and even prosecution. This webinar will provide up-to-date information on these schemes, best practices for identifying red flags, and practical steps to effectively communicate and share information between securities firms and banks.

Learning Objectives

  • Implementing policies and procedures that account for unique red flags such as microcap securities or “penny stock” transactions
  • Reviewing common securities fraud and AML typologies such as pump-and-dump schemes to strengthen monitoring systems
  • Collaborating effectively with banks to trace the movement of illicit funds and recoup stolen money

Who Should Attend

  • Compliance Managers
  • Registered Representatives
  • Law Enforcement


  • North America
  • Global
  • Securities
  • Bank


ACAMS Members Non-Members
$245 $445
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Alison Jimenez
  • Alison Jimenez, CAMS

  • President/Founder
  • Dynamic Securities Analytics, Inc.


  • John Davidson

  • Senior Vice President and Global Head of AML
  • E*TRADE Financial

Gina Storelli
  • Gina Storelli, CAMS-Audit

  • President/ Founder
  • Sutton Consulting Services Corp