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A History of Securities Fraud Scandals
Friday May 9, 2025 12:00-2:00 PM - 2 CPE Credits
Summary
UCLA School of Law Professor James Park will present on the history of securities fraud. He will discuss case studies of major securities frauds from the 1970s to the present involving companies such as Penn Central, Apple, and Enron. The presentation covers the different ways that public companies commit fraud, why they commit securities fraud, how securities fraud can be detected, and how regulation addresses the problem of securities fraud. Professor Park will also discuss recent cases involving FTX, Theranos, and Nikola.
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James Park is Professor of Law at UCLA School of Law. He is an expert on securities regulation and corporate law. His research mainly examines securities fraud enforcement by the Securities and Exchange Commission and private plaintiffs. He is the author of a history of securities fraud and its regulation, The Valuation Treadmill: How Securities Fraud Threatens the Integrity of Public Companies. After graduating from Yale Law School, Professor Park clerked for federal judges in the Southern District of New York and U.S. Court of Appeals for the Second Circuit. He practiced law in New York City at a law firm and then as an Assistant Attorney General in the Investor Protection Bureau of the New York State Attorney General’s Office.
UPCOMING EVENTS:
Register Now: June 13th 12:00 PM Catch Me If You Can - 2 CPE
After registration you will be sent a Zoom link prior to the session. The Zoom link will also be sent one day and one hour prior to session.
To receive 2 CPE Credits you must be logged into the session for the entire time and respond to polling questions and/or survey.
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Catch Me If You Can: Fraud Case Studies- 2 CPE
June 13th at 12pm
Fraud in the financial services industry is growing exponentially. Join us to learn what's driving that growth and what fraud professionals in the industry are doing to help prevent fraud. You'll also have an opportunity to step into the shoes of a financial advisor and fraud officer to see how you'd handle various fraud situations.
Matthew Dougherty is a former litigation with over 15 years of experience in the securities and financial services industry, primarily in anti-money laundering (AML) and financial crimes, such as fraud and elder financial exploitation. He currently serves as the Deputy Officer of four (4) Raymond James business units and is responsible for helping ensure that the business units have effective AML, financial crimes, and sanctions programs that comply with the USA PATRIOT Act and other applicable rules and regulations, such as SEC Regulation S-ID (Identity Theft Red Flags). Matthew also holds the FINRA Series 7 and 24 investment licenses.
Association of Certified Fraud Examiners
Long Island Chapter #43
Massapequa Park, NY 11762
516-409-4259
ACFE Long Island Chapter is a 501 (c) 3 not-for-profit organization
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