Securities America Brings Compliance Sessions to Life with Speakers from FBI, Homeland Security
June 12 2015 - 8:00AM
Business Wire
National Conference Firm Element Training
Steps Away from Old and Ordinary
Securities America, a wholly owned subsidiary of Ladenburg
Thalmann Financial Services Inc. (NYSE MKT:LTS), brought compliance
and risk management to life with speakers from the FBI and Homeland
Security at its 2015 Connect national conference, held in Austin
June 6-9.
“We design our continuing education program to cover the bases
regarding our products, sales practices, and regulatory priorities
and expectations,” said Mark Lasswell, Securities America chief
compliance officer. “By bringing in high caliber speakers with real
world stories, we make the sessions more interesting and relevant
to our advisors.”
Special Agent David A. Chaves, senior FBI official, New York
Division, presented “The FBI on Wall Street,” a look into the FBI
and SEC’s seminal and sweeping investigation into insider trading.
Chaves serves as the securities fraud program manager for the FBI’s
most visible securities cases prosecuted over the last decade. The
presentation provided an understanding of how the FBI became
involved, case studies, compliance best practices, use of
sophisticated techniques such as wire taps and undercover
operations, and recruitment of cooperators. Lasswell offered
additional guidance to Securities America advisors on various
regulatory and compliance hot topics.
The Anti-Money Laundering session at the conference featured
Kurt Gredzinski, counter threat finance SOF2 team chief, U.S.
Special Operations Command. Gredzinski highlighted for advisors how
their efforts to protect their clients and their practice also
contribute to protecting national security. The session focused on
illicit financial networks, national security threats and case
studies involving money laundering, providing advisors with red
flags that may indicate suspicious activity.
“Criminals and terrorists are always looking for vulnerabilities
in financial systems,” Gredzinski said. “Due diligence and
communication are two very effective tools for advisors to
recognize a potential threat to their practice.”
Working in conjunction with Special Operations Forces (SOF)
multiple federal law enforcement agencies, the Intelligence
Community, Department of the Treasury, and the private sector,
Gredzinski’s team's efforts have resulted in multiple arrests and
designations against illicit financial networks worldwide and
seizure/freezing of billions of dollars. Gredzinski retired from
the United States Army after over 20 years of service at the rank
of Chief Warrant Officer 3 (CW3) serving as an all source
Intelligence Technician. He participated in three deployments that
ranged from peace keeping contingency operations in Bosnia in
support of Operation Joint Forge from 2000- 2001, to combat
operations in Operation Iraqi Freedom in 2002-2003 and Operation
Enduring Freedom in 2005-2006. Gredzinski’s significant awards
include the Bronze Star and the Defense Meritorious Service
Medal.
About Securities AmericaSecurities America is one of the
nation’s largest independent broker-dealers with more than 2,000
independent advisors and $55 billion in client assets.
Advisory services offered through Securities
America Advisors, Inc., an SEC Registered Investment Advisory Firm.
Securities offered through Securities America, Inc., member
FINRA/SIPC.
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version on businesswire.com: http://www.businesswire.com/news/home/20150612005079/en/
Securities AmericaNatalie Hadley, 402-399-9111 ext. 4606
or 800-747-6111 ext. 4606nhadley@saionline.com
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