AAII Phoenix Chapter
presents on
March 16th, 2024
Why Companies Commit Securities Fraud: Lessons From History
James Park, Professor of Law, UCLA School of Law, Los Angeles – In-person
9:40 to 11:10 am
UCLA School of Law Professor James Park will present on the history of securities fraud regulation. He will discuss case studies of major securities frauds from the 1970s to the present involving companies such as Penn Central, Apple, Enron, and General Electric. The presentation covers the different ways that public companies commit fraud, why they commit securities fraud, how securities fraud can be detected, and how regulation addresses the problem of securities fraud. Professor Park will also discuss recent cases involving FTX, Theranos, and Nikola.
What you will learn:
-
- An understanding of the different ways that companies commit securities fraud.
- An understanding of the different motivations for securities fraud.
- An overview of the major federal law and regulations that protect investors from securities fraud.
Bio:
James Park is Professor of Law at UCLA School of Law. He is a leading expert on securities regulation and corporate law. After graduating from Yale Law School, Professor Park clerked for federal judges in the Southern District of New York and U.S. Court of Appeals for the Second Circuit. He practiced law in New York City at a law firm and then as an Assistant Attorney General in the Investor Protection Bureau of the New York State Attorney General’s Office.
11:30 to 12:00pm
IBD Leaderboard Report– In-person
Presented by: Jim Ek, AAII Phoenix Chapter Board Member
Bio:
Jim is a lifetime member of AAII and serves on the Phoenix chapter board. He is not a professional investor. But he started investing in his 20s and has investigated many platforms over the years. Jim started this series as a fill-in for a speaker whose schedule changed. He reported on a trial subscription to Investors Business Daily (IBD) Leaderboard offering and gave an overview. Questions that came out of that presentation suggested a longer review. The second presentation took a closer look at some Leaderboard attributes and compared the numbers from the prior month’s presentation to current numbers. Jim also introduced his own Leaderboard portfolio and will continue to discuss his rules for the portfolio as well as for buying and selling positions on the portfolio.
March 16th, 2024
IBD Leaderboard Report
Agenda:
Basic Ground Rules for My Portfolio
Overview of Buying Guideline
Overview of Selling Guidelines
You will learn:
Why I pick a stock
How many stocks I intend to own
Stock criteria for purchase.
o When to buy
o When to add to a position
· Selling signals
12:10 to 1:10 pm
Personal Finance & Retirement Income SIG – In-person
Presented by: Urban Adams, SIG Leader
Due to greater uncertainties, financial planning after retirement becomes more challenging. We all want to make good decisions. Where most investors get into trouble is not in their intent, it’s in their emotions and habits. The SIG's focus is educating members how-to make informed financial decisions which are in their best interests.
1:15 to 2:15 pm
Options and Analysis SIG – In-person
Presented by: Lowell Carty, SIG Leader
All AAII participants are invited to improve their wealth-building and management skills through the use of option instruments and analysis tools. You will benefit from a combination of tutorial presentations and active discussions that range from use of options to generate monthly income, "hedging" for protection of your stocks and directional trades.
MEETING DETAILS:
Date:
Saturday, March 16th, 2024
Time:
9:00 Registration
9:30 Announcements
9:40 James Park, Professor of Law UCLA School of Law, Los Angeles, California
Why Companies Commit Securities Fraud: Lessons From History
11:10 Break
11:40 Chapter Member Presentation – IBD Leaderboard - Jim Ek
12:10 Personal Finance & Retirement Income SIG – Urban Adams SIG Leader
1:15 Options and Analysis SIG - Lowell Carty, SIG Leader
2:15 Door Prizes for in-person attendees
Location:
Tempe Public Library
Friends of the Library meeting room
3500 S Rural Rd
Tempe, AZ 85282
or
By Zoom Webinar
FOUR REGISTRATION OPTIONS
1. Season Pass holders
Email Terry Karpinski at Registrar@aaiiphoenix.com , if you are attending in-person or by Zoom. If you are attending by Zoom, include your email address in order to receive your Zoom link
2. Pre-registration: Mail In
Mail your $10.00 check to Terry Karpinski, Registrar, with the meeting date.
If you are attending by Zoom, include your email address in order to receive your Zoom link.
Terry Karpinski, Registrar
319 E. Catalina Lane
Queen Creek, AZ 85140
The advance mail registration must be received by the registrar by March 16th
3. Pre-registration: On-line with Eventbrite – $13.00
Eventbrite registration link:
https://www.eventbrite.com/e/aaii-phoenix-chapter-march-meeting-tickets-788529762747
On-line registration must be done by March 14th.
At-the-door registration [space available] – $15
Meeting details related to the Covid Pandemic:
Please Read the AAII COVID Protocol for In-Person Meetings
In-Person Attendee Acknowledgement |
