Emerging Trends in Securities Fraud

This course delves into two important and growing areas of securities fraud: affinity fraud and microcap fraud. The first half of the course focuses on affinity fraud, including common tactics and red flags related to the fraud, and then examines key cases in the area.

The second half of the class examines microcap fraud including issues such as pink sheet fraud, stock touting, and reverse stock split loan fraud. The focus is on identifying the types of companies used in this type of fraud and red flags investors and regulators can look for. The class involves significant use of case studies and discussion.

Course Objectives

By the end of the course, the participants will be able to:

• Discuss the terminology and typical characteristics associated with emerging securities frauds
• Assess the red flags and other key characteristics related to securities fraud
• Explain high profile fraud cases and the risks they presented to the investing public
• Analyze trends in the securities industry and the on-going evolution of fraud in the space

Prerequisites: None

Program Level: Foundational

Advance Preparation: None

Computers and Financial Calculators: N/A

Recommended CPE Credits: 7