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NC SOS

***********NOTICE OF UPCOMING CLE COURSES**********

The North Carolina Department of the Secretary of State offers free North Carolina State Bar Approved CLE Courses:

Thursday, February 21, 2019

1 hour CLE – Investment Fraud: Guarding Your Assets in a Scary World

9:30 a.m. – 10:30 a.m.

This course is pending approval by the Board of Continuing Legal Education of the North Carolina State Bar for continuing legal education credit in the amount of 1 hour, of which 0 hour(s) will be available to satisfy the anti-substance abuse/mental health awareness requirement, 0 hour(s) will be available to satisfy the ethics requirement and 1 hour will be available to satisfy the general requirement. This course is not sponsored by the board.

Please complete a Registration Form for each of the following courses you wish to attend: (Space is limited to 25 seats per class)

Thursday, February 21, 2019

Agenda

Registration Now

All courses will be held at 4701 Atlantic Avenue, Suite 116, Raleigh, NC 27604

For additional information contact John Maron by phone at 919.814.5560, by email at jmaron@sosnc.gov.

North Carolina Department of Secretary of State CLE Agenda

CLE Course Description

1 hour CLE

Title: Investment Fraud: Guarding Your Assets in a Scary World

Don't think you can become a victim of investment fraud? Neither did the nearly 500 people who trusted J.V. Huffman, Jr., of Conover, NC, or the 100 people who trusted Sid Hanson, of Charlotte, NC, with approximately $25 million and $30 million (respectively) of their money! Want to learn how to avoid becoming a victim of investment fraud? Join us and learn how to recognize and avoid possible investment scams. You will also learn how to spot the red flags of potential investment fraud, learn how to do your due diligence, and the questions to ask your investment professional. This seminar will help you to understand what to do if you become a victim of an investment scam. Presented by John Maron, Director of the Investor Protection & Education Services Division of the North Carolina Department of the Secretary of State.

This course is pending approval by the Board of Continuing Legal Education of the North Carolina State Bar for continuing legal education credit in the amount of 1 hour, of which 0 hour(s) will be available to satisfy the anti-substance abuse/mental health awareness requirement, 0 hour(s) will be available to satisfy the ethics requirement and 1 hour will be available to satisfy the general requirement. This course is not sponsored by the board.

Instructor: John Maron, Director, Investor Protection and Education Services, NC Department of the Secretary of State Securities Division




Agenda

9:00 – 9:30 Registration

  • 9:30 – 10:30 Presentation

    • Topics to be covered include:

      • The effects of investment fraud;
      • The role and jurisdiction of the Department of the Secretary of State in fighting investment fraud, including applicable statutory provisions;
      • What is and is not a "security" under the law;
      • Tests for recognizing what is or is not a "security";
      • The anti-fraud provisions of the NC securities laws;
      • Federal and North Carolina investment crowdfunding overview and update;
      • Types and examples of investment scams;
      • Emerging threats, e.g., cryptocurrencies; and,
      • How to avoid investment scams

Date: February 21, 2019

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