| Past Event |
| CHAPTER LUNCHEON Thursday, September 25, 2008 11:30 a.m. - 1:30 p.m. Taix French Restaurant 1911 Sunset Blvd. Los Angeles, CA 90026 213.484.1265 http://snipurl.com/taix The event is approved for 1 hour CPE for Certified Fraud Examiners and Accountants and 1 hour MCLE credit for attorneys. |
| TOPIC: "Staying in the Good Books of the SEC" SPEAKER: Diane Tani, Associate Director SEC Western Region DESCRIPTION OF SPEECH: Topics Ms. Tani will cover are: 1. How the SEC learns of possible cases 2. The types of cases it investigates 3. The anatomy of an investigation a. What tools are available to the SEC b. How the SEC develops a case SPEAKER BIO: Diana K. Tani is one of four Assistant Regional Directors, Office of Enforcement, in the SEC's Los Angeles Regional Office. As Assistant Regional Director, Ms. Tani oversees nearly a dozen attorneys and accountants responsible for investigating possible violations of the federal securities laws in the Office's five state region. Among the significant matters brought under Ms. Tani's supervision are: the Gateway, Endocare, and Craig Consumer Electronics financial fraud actions; the action brought against the general counsel of FLIR Systems, Inc. and related actions in that financial fraud case; several market manipulation cases, including one involving a prolific email spammer; several insider trading matters, including a director of Koo Koo Roo, an employee who traded in advance of the Times Mirror- Tribune Company merger, and one involving a Mentor Corporation contractor; several unregistered offering fraud matters, including just this year the Pacific Wealth Management affinity fraud involving dozens of residential homes now in foreclosure in Riverside County, the Plus Money hedge fund fraud involving an undisclosed trading strategy, and the Lincoln Funds fraud run by undisclosed recidivists; and the report of investigation involving the conduct of the Orange County, CA Board of Supervisors in issuing municipal bonds. Ms. Tani received her B.A. from the University of California at Santa Barbara and her J.D. from Loyola Law School where she was an editor of the International and Comparative Law Journal. |
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LA-ACFE.org - Los Angeles Chapter