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Training: Embezzlement/Theft: Using Other People’s Money

When:
Friday, October 27, 2017, 8:30 AM until 1:00 PM
Where:
Tip O’Neill Federal Building
10 Causeway Street
Boston, MA  
Category:
Training
Registration is required
Payment In Advance Only
3 CPEs awarded for this session

INCLEMENT WEATHER POLICY: In case of inclement weather, if the Boston Public Schools are closed, the training session will be cancelled.
Registration cancellations will be accepted until Wednesday, October 25, 2017 at 5:00 PM
Registrants & Fees
$35.00
$30.00
$40.00
$40.00
$5.00

Embezzlement & Theft: Using Other People’s Money 


FRIDAY, October 27, 2017
9:00A.M. TO 1:00P.M. Registration 8:30 AM
Location: Tip O’Neill Federal Building 10 Causeway Street, Boston, MA

Agenda:

 8:30-9:00  Registration 
 9:00-10:00 Slippery Slope of Fraud: Jay Peak 
William Carrigan, CFE, Deputy Commissioner, Securities Division, Department of Financial Regulation
 10:00-10:15   Break
 10:15-11:15  Financial Institution Embezzlement
Shawna O. Avey, CFE, CAMS, Supervisory Examiner, MA Division of Banks, Depository Institution Supervision
 11:15-11:30 Break
 11:30-1:00 Getting Justice: Preparing the Case for Prosecution
Bruce A. Dean, JD, CFE, CPP, Assistant D.A. & Chief Special Prosecutions Unit Suffolk County (Retired)

             
Session Information:

The Slippery Slope of Fraud: Jay Peak
William Carrigan, CFE, Deputy Commissioner, Securities Division, Department of Financial Regulation
Bill is the Deputy Commissioner of the Vermont Department of Financial Regulation’s Securities Division and is also the Investor Education Coordinator. 

His responsibilities within the Division include the oversight of registered investment advisory firms and individual investment advisor representatives as well as all broker dealer firms and their agents, registered to do business in Vermont. He also investigates customer complaints and conducts examinations, investigations and enforcement actions on behalf of the Division.

Bill is a Certified Fraud Examiner (CFE) and serves on the Investment Advisor Section and Broker Dealer Continuing Education Project Group for the North American Securities Administrators Association (NASAA).  Prior to joining the Vermont Securities Division, Bill worked in the securities industry since 1993 in various capacities including Compliance and Operations. During that time, he held the FINRA Series 7, Series 63, Series 66, Series 24, Series 53 and Series 4 registrations. Bill has a BA in Business Management. from Johnson State College and a Master of Science degree in Forensic Studies from Stevenson University in MD.

Financial Institution Embezzlement
Shawna O. Avey, CFE, CAMS, Supervisory Examiner, Massachusetts Division of Banks, Depository Institution Supervision

Shawna O. Avey is a Supervisory Examiner with the Massachusetts Division of Banks (Division), a state regulatory agency which supervises state chartered banks and credit unions, and other non-depository institutions.  Her background includes more than twelve years of experience in accounting and fraud investigation while examining and auditing financial institutions.  Her current role is to protect consumers and ensure a safe and sound banking environment.  She acts as Examiner-in-Charge of the largest, most complex financial institutions, manages insider abuse and fraud investigations, presents findings and corrective actions to senior management and members of the Board of Directors, and regularly provides examination and fraud training to Division employees. 
  
Her investigations have included reviews for potential money laundering, conflicts of interest, loan fraud, fraudulent expense reimbursements, employee account abuse, internal controls, system access controls, bank reconciliations, and the fraudulent clearing of Automated Clearing House transactions.  She also has extensive experience in the areas of Anti-Money Laundering (AML)/Bank Secrecy Act (BSA)/Office of Foreign Assets Control (OFAC) and Information Technology, assessing to ensure that financial institutions have adequate controls to prevent money laundering and security breaches.
   
Shawna is a Certified Anti-Money Laundering Specialist (CAMS) and a member of the Association of Certified Anti-Money Laundering Specialists (ACAMS). 
 
She is also a Certified Fraud Examiner and has served on the Board of Directors for the Greater Boston Chapter of the Association of Certified Fraud Examiners since 2012 and has provided training to Chapter Members on the prevention, detection, and investigation of financial institution fraud and abuse.  
 
Shawna graduated from Northeastern University with a Graduate Certificate in Forensic Accounting and received an Accounting Certificate from Framingham State College.  Shawna also has a Bachelor of Science in Business Administration and Management with a minor in Economics from North Adams State College.
 

Bruce A. Dean, Investigative Project Manager, PI1 – New England
Bruce A. Dean is Investigative Project Manager for PI1 of New England in Cambridge, Massachusetts. A subsidiary of Pennsylvania-based Pinnacle Investigations,Inc., PI1 recently opened a regional office in New England. Previously, Mr. Dean served as Investigative Counsel and Senior Consultant &Investigator for Pinkerton Consulting & Investigations in Boston. Beforehand, he served as a contract Principal Investigator for Fidelity Investments' Risk Oversight/Corporate Security group. His specialty is fraud deterrence, detection & investigation.

Bruce is a retired Assistant District Attorney for Suffolk County, Massachusetts and Chief of its Special Prosecutions Unit, a division concentrating in the investigation and prosecution of organized and financial crime, public corruption and "electronic" crime. Mr. Dean offers over forty years of experience in the criminal justice field. He is admitted to practice law before the courts of the Commonwealth of Massachusetts, the U.S.District Court, the U.S. Court of Appeals for the First Circuit and the U.S. Supreme Court. Mr. Dean is a former Assistant District Attorney for Middlesex County,Massachusetts. He has also served as Staff Counsel for the Hanover Insurance Companies, a major property and casualty insurer, where he focused his efforts on fraud suppression and litigation. 

Prior to his admission to the bar, Mr. Dean managed the investigative efforts of First Security Services Corporation (now Pinkerton Consulting &Investigations), a renowned private security and investigative firm, predominantly concerned with the investigation of insurance fraud and business crime. He has also served as a security consultant to several major organizations including the former Harvard Community Health Plan and the Public Broadcasting Service. Mr. Dean is a Regent Emeritus and the past Chairman of the Board of Regents of the 75,000 member Association of Certified Fraud Examiners (ACFE). He is a former Secretary and current Director of the Greater Boston Chapter of ACFE. He has also served as Vice Chairman of the Economic Crime Council of the American Society for Industrial Security (ASIS International) and is currently Senior Advisor to the Council. 

Mr. Dean holds a bachelor's degree in organizational communications from Emerson College, a master's degree in governmental public affairs from Boston University and a Juris Doctor degree from the New England School of Law. He has been designated a Certified Protection Professional (CPP) ("Board Certified in Security Management") by the Professional Certification Board of the American Society for Industrial Security, a Certified Fraud Examiner (CFE) by the Association of Certified Fraud Examiners and has been certified as an instructor by the Massachusetts Criminal Justice Training Council. 

For twenty years, Mr. Dean was a faculty member of Northeastern University's evening Criminal Justice Program and earned the academic rank of Senior Lecturer. He was the recipient of the "Teaching Excellence Award in Criminal Justice" for 2000-2001. He is also a frequent instructor before numerous law enforcement and other professional groups, most recognized for his knowledge of financial crime issues and "investigative" criminal law & procedure, including search & seizure.



Cost
$30.00 for Paid Chapter Members 
$40.00 for non-members
$35.00 group rate
$5.00 student member rate

RSVP: Register online by October 25, 2017

INCLEMENT WEATHER POLICY: In case of inclement weather, if the Boston Public Schools are closed, the training session will be cancelled.

4 CPEs awarded for this session


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