SmartCheck.Cftc.Gov Logo


Don't Let Your Client Be a Target for Fraudsters: Attend the Securities Industry Symposium

Posted by CFTC Staff /
All it takes is person to stand guard for all investors

Join federal and state securities regulators for a free educational lunch program featuring current, need-to-know information for industry professionals. This program will provide vital education for combating the ever-growing issue of investment fraud targeting seniors, and will allow access to top industry regulators who will engage in an open dialogue with participants.


Featured panel members:

  • Gerald Rome, Colorado Securities Commissioner
  • Rebecca Franciscus, Senior Counsel for the United State Securities and Exchange Commission
  • Sean Clifford, First Assistant Attorney General, Financial Fraud Unit with the Colorado Attorney General’s Office

Date: Thursday, September 24, 2015
Time: 12:30-1:30pm (Doors open at 12:00pm)
Location: The Event Hall at Lone Tree Arts Center, 10075 Commons Street, Lone Tree, CO 80124
Lunch will be provided.

Space is limited, register today! RSVP to

Location: Lone Tree Arts Center is located near I-25 and Lincoln Avenue, on the south end of the Denver metro area, just a short drive from Highlands Ranch, Centennial, Englewood, Greenwood Village, Parker, and Aurora. The Arts Center has a large, free on-site parking lot as well as a convenient drop-off point at the front entry. The parking lot can be found on the south side of the building.

Presented by:
U.S. Commodity Futures Trading Commission
Colorado Division of Securities
AARP Foundation
Colorado Attorney General’s Office

Also, please tell your clients to attend the 4th Annual Rocky Mountain Investor Fraud Summit. State and Federal Government regulators will teach them about the latest fraud schemes and new tools they can use to help recognize, refuse, and report fraud and protect their retirement assets.

Date: Thursday, September 24, 2015
Time: 10:00-11:30 AM
Location: Wind Crest Senior Living Community, 3235 Mill Vista Road, Highlands Ranch, CO 80129

Stay Connected.

Get the latest SmartCheck news sent to your inbox.

Sign Up

Run a Check.
Know Your Pro.

Investing can be risky. Make sure your financial professional is properly registered and check their disciplinary history.


Spot something? Speak up.

Sketchy offer? Shifty sales tactics?

Give a tip to the CFTC.

Submit a Tip