AAII Baltimore Investment Education Chapter

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Please RSVP for the Saturday, September, 2014 meeting:
Your prompt response would be most appreciated.

DATE:
Saturday, September 13, 2014 , 9:45 A.M. Registration, 10:00 A.M. Main Presentation

Brooklyn Park Library Branch
1 East 11th Avenue
Baltimore, MD 21225
 
(driving directions:  www.aacpl.net/branch_info/bpk.htm )

PRESENTATION TOPIC--  Securities Fraud and the Individual Investor

PRESENTATION OVERVIEW: 

Discussion will cover suggestions for investors to help avoid fraud and questions to ask before investing and choosing a financial professional.

ATTEND THIS MEETING TO LEARN: 
1. Learn how to check the background of a financial professional
2. Learn how to research investment products
3. Learn what questions to ask before investing

REASONS TO ATTEND: 
1. To recognize common red flags of investment fraud.
2. To help avoid being taken advantage of while investing.
3. To become knowledgeable of SEC information sources.

SPEAKERS / SPEAKERS' BIOGRAPHY:
Alan E. Sorcher
Assistant Director
Office of Investor Education and Advocacy
United States Securities and Exchange Commission

Alan E. Sorcher is an Assistant Director in the Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA). Alan assists OIEA in its mission to inform and educate investors on frauds and other information relevant to investing in securities. Alan joined the SEC from Deloitte Financial Advisory Services where he was a Director advising financial institutions on anti-money laundering and financial crime compliance. Earlier in his career, Alan was a Branch Chief in the SEC’s Division of Enforcement. Alan spent almost ten years as a Managing Director and Associate General Counsel at the Securities Industry and Financial Markets Association and also served as a Senior Advisor at Treasury’s Financial Crimes Enforcement Network and Senior Counsel at the Federal Reserve Board. Alan holds a B.A. from the University of Pennsylvania and a J.D. from the Boston University School of Law.

Charge/Fee: 
$5 per person and per guest with pre-registration before September 10th
$7 per person and per guest with pre-registration after September 10th
$10 per person at-the-door if you are not pre-registered

CASH AT-THE-DOOR PAYMENT FOR ALL ATTENDEES.

 

Name: 
 

E-Mail Address:
 

Phone Number:
 

Please list the names of GUESTS that will be attending the meeting with you ($5 per guest if registered prior to 9/10):

Please indicate any ADA disability needs (72 hours notice required to allow us to fulfill requests)

RSVP RESPONSE

 Yes I will be attending the Saturday, September 13th meeting.

Payment Information:  $7 if registered after September 10 for pre-registered members and guests with RSVP.

No I can not attend the meeting.




MEETING DETAILS
Date: Saturday, September 13, 2014
9
:45 A.M. Registration
10:00 A.M. Main Presentation Begins

Brooklyn Park Library Branch
1 East 11th Avenue
Baltimore, MD 21225
410-222-6260

Additional Information about this library branch and more detailed instructions may be obtained with this link:

http://www.aacpl.net/branch_info/bpk.htm

From the Baltimore Beltway (I-695), take Exit 3A (for Ordinance Rd / Ritchie Highway). Make two immediate right turns to Northbound Ritchie Highway.  Travel 1.3 miles inside the beltway.  Just before the McDonald's on the right is 11th Avenue.  Turn right on 11th.  100 yards on the right, turn into what looks like a school driveway (if you pass the school you've gone too far).  Stay to the right.  The building on the right is the library.

 

 


   

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