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 America
Securities
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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