WASHINGTON, D.C. – (April 13, 2022) – The North American Securities Administrators Association (NASAA) today announced the speakers and agenda for the next installation in the webcast series, “NASAA’s Senior Issues and Diminished Capacity Committee Presents.” The webcast is scheduled for May 4 at 2:30 p.m. ET to 3:45 p.m. ET and is open to the public. The program will feature speakers from the financial services industry discussing how they work within their firms and with other stakeholders to mitigate vulnerable investor harm.
“NASAA’s mission to protect investors from fraud and abuse is more important than ever,” said Melanie Senter Lubin, North American Securities Administrators Association (NASAA) President and Maryland Securities Commissioner. “Our ‘Senior Issues and Diminished Capacity Committee Presents’ webcast provides an important and timely platform for members of the public to learn to how detect, prevent and report financial exploitation of vulnerable investors.”
The webcast will begin with opening remarks from President Lubin. Richard Szuch, Chair, NASAA’s Senior Issues and Diminished Capacity Committee, and Enforcement Chief, New Jersey Bureau of Securities, will host and moderate the webinar.
Session 1: How Firms Work to Mitigate Exploitation
Panelists: Nancy Heffner, The Lincoln Investment Companies, Director of Compliance; Ron Long, Wells Fargo Advisors, Director of Elder Client Initiatives; Heather Murphy, Commonwealth Financial Network, Director, Deputy Chief AML Officer; Thomas W. Mierswa Jr., Morgan Stanley, Executive Director in the Branch Advisory Group of the Legal and Compliance Division; and Debbie Noury, Fidelity Investments, Senior Director of Elder Financial Investigations.
Session 2: Centralized Reporting of Exploitation
Panelists: Marin E. Gibson, SIFMA Managing Director and Associate General Counsel, State Government Relations; Ron Long, Wells Fargo Advisors, Director of Elder Client Initiatives; and Debbie Noury, Fidelity Investments, Senior Director of Elder Financial Investigations.
To register for the webcast, visit the NASAA website.
Organized in 1919, the North American Securities Administrators Association (NASAA) is the oldest international organization devoted to investor protection. NASAA is a voluntary association whose membership consists of the securities regulators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, the 13 provincial and territorial securities regulators in Canada, and the securities regulator in México. For more information, visit www.nasaa.org.
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Karen Grajales | Communications & Investor Outreach Manager