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! Think securities regulation is boring? Think again. From providing initial capital to fuel the growth of startup businesses to forming the heart of the modern-day financial markets, securities and the regulation of these financial instruments underlie many modern-day business transactions. As crowdfunding and newer exemptions begin to take hold in the markets, attorneys who work with businesses need to know the rules of the road to serve as helpful counselors to business clients and investors.
During this three-hour presentation, attorneys not only learn how to avoid becoming victims of investment fraud and what to do if clients are or may be victims, but also become familiar with the rapidly-changing world of startup finance, understand the laws around crowdfunding, and better appreciate ethical quandaries faced in the securities context.
SPEAKERS
- Ann McNellis Elmore, North Carolina Department of the Secretary of State, Raleigh
- Zesely Bryan Haislip Jr., North Carolina Department of the Secretary of State, Raleigh
- John J. Maron, North Carolina Department of the Secretary of State, Raleigh
PRODUCED
February 24, 2020
PLANNED BY
NCBA CLE Department
APPROVED CREDIT
North Carolina: 3.00 MCLE/CPE Hours
PROGRAM PRICING
See pricing below. Discounts may be available for NCBA members who are students, law professors, judges or legal services/public interest attorneys. Call CLE at 800.228.3402 for details.
