Thursday, October 3, 2019

Opening Remarks (9:30 am – 9:45 am ET)

• Introduction, Charu Chandrasekhar, Head, Retail Strategy Task Force, SEC
• Jay Clayton, Chairman, SEC

Panel One – Intersection of Health, Wealth and Advocacy (9:45am–11:15 am ET)

Experts in neuroscience, advocacy and education will discuss contributing factors to elder exploitation, including cognitive decline, capacity issues, social isolation, and institutional vulnerabilities that create entry points for fraudsters and other unscrupulous actors. The panelists will also discuss strategies for proactively providing investors with safeguards and educational tools from regulatory and industry standpoints.

Moderator

• M. Owen Donley, III, Chief Counsel, Office of Investor Education and Advocacy, SEC

Panelists

• Lisa Bleier, Managing Director and Associate General Counsel, SIFMA
• Lori Delagrammatikas, Executive Director, NAPSA
• Nicole Iannarone, Assistant Professor of Law, Drexel University Thomas R. Kline School of Law
• Amy Nofziger, Director, AARP Fraud Watch Network Helpline
• Francis X. Shen, Associate Professor of Law, University of Minnesota Law School; Exec. Director, Harvard MGH Center for Law, Brain & Behavior

Break (11:15 am – 11:30 am ET)

Panel Two – Enhancing the Ability of Financial Institutions to Combat Senior Financial Fraud (11:30 am–1:00 pm ET)

Officials from regulatory and industry organizations will broadly discuss preventative and remedial measures targeted at improving gatekeepers’ ability to identify, address and mitigate elder exploitation and financial fraud. Topics will include the Senior SAFE Act, existing and future regulatory rules and regulations across the financial industry and the important roles of local law enforcement and protective services partners.

Moderator

• Lourdes Gonzalez, Assistant Chief Counsel, Division of Trading and Markets, Office of Sales Practices, SEC

Panelists

• Marin Gibson, Managing Director and Associate General Counsel, State Government Affairs, SIFMA
• Jean Setzfand, Senior Vice President, AARP Programs, AARP
• Judith Shaw, Securities Administrator, Maine Office of Securities
• Jeanette Wingler, Associate General Counsel, Office of General Counsel, FINRA

Lunch Break (1:00 pm–2:00 pm ET)

Afternoon Remarks (2:00 pm–2:15 pm ET)

• Elad Roisman, Commissioner, SEC
• Susan Collins, U.S. Senator from Maine, Chair of U.S. Senate Special Committee on Aging (via video)

Panel Three (2:15 pm–3:30 pm ET) Fraudulent and Manipulative Financial Schemes Targeting Seniors

Panelists from various regulators will discuss different types of financial fraud and schemes impacting elder investors across the securities and financial industry, highlighting potential perpetrators, marketing tactics and regulatory and law enforcement actions and deterrence efforts.

Moderator

• Charu Chandrasekhar, Head, Retail Strategy Task Force, SEC

Panelists

• Gustav Eyler, Director, Consumer Protection Branch, U.S. Department of Justice
• Michael Herndon, Deputy Assistant Director, Office for Older Americans, Consumer Financial Protection Bureau
• Lisa Hopkins, Senior Deputy Securities Commissioner and General Counsel, West Virginia State Auditor’s Office
• Christopher Kelly, Senior Vice President, Sales Practice Enforcement, FINRA
• Laura Richardson, Section Chief, Intelligence Division, Financial Crimes Enforcement Network

Closing Remarks (3:30 p.m. ET)

• Allison Herren Lee, Commissioner, SEC