*1 Credit hour to Payroll, Finance, Bookkeeping and Bill Paying Expenses for CDMM® recertification.
DMMs have access to their clients’ financial documents and correspondence. Josh Ross and Cody Berne of Stoll Berne will discuss how plaintiff’s lawyers evaluate investor fraud cases with a focus on the issues and factors they consider when deciding whether to take a case. DMMs can contribute to a successful case by identifying and securing the evidence of wrongdoing.
This webinar will teach participants about what lawyers look for when evaluating a potential case on behalf of an investor against an advisor, broker, promoter, salesperson, and others who may be liable. The webinar will provide DMMs insight into signs of fraud that they might come across when reviewing client expenses or assembling documents for annual income tax organizers.
Intended Audience: Money Managers
Presenter: Josh Ross and Cody Berne
Josh Ross represents clients in complex business disputes, trust and estate litigation, shareholder disputes, consumer and securities fraud actions, class actions, breach of professional and fiduciary duty, and property and contract disputes. Josh serves as an arbitrator for Multnomah County Circuit Court and with Arbitration Service of Portland, previously served on the Oregon State Bar Board of Governors and is currently a member of the State Professional Responsibility Board. Josh has volunteered with Legal Aid’s Domestic Violence Project since 2007.
Cody Berne is a lawyer who represents investors and retirees who are victims of financial fraud and other misconduct in court and arbitrations. Cody’s experience ranges from securities fraud class actions to arbitrations involving violations of investment industry standards. Cody also has experience defending these cases and representing investment advisors in business matters. Cody is a FINRA arbitrator and a member of PIABA.
Note: Registration is for one entrant. Any other individuals who would like to join this session are required to complete their own registration forms. The registration fee is set per person, not per connection.
Confirmation: Registrants will be notified in a follow-up email.
Questions: Email AADMM Registration Office registration@aadmm.com.