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SECURITIES LAW SEMINAR FOR OHIO PROSECUTORS SET FOR THURSDAY

 

Ohio’s prosecutors will receive an overview of securities law, anti-fraud provisions, and the nature of securities law violations at the "Securities Law Seminar for Ohio Prosecutors" on Thursday, September 7. The seminar will be held from 9:30 a.m. – 4 p.m. at the Riffe Center, 77 South High Street, 31^st Floor, Columbus. The seminar is being sponsored by the Ohio Department of Commerce’s Division of Securities.

"This seminar will help take some of the mystery out of Ohio securities law," said Ohio Securities Commissioner Debbie Dye Joyce. "We want to do everything we can to assist in the prosecution of criminals in the securities marketplace."

The idea for this seminar was developed by Division of Securities employees participating in the Quality Service Through Partnership program. The program encourages employees to consider new ideas to meet customer needs and expectations. The team, named "The Fraud Busters", planned the seminar, including the format and agenda.

SEMINAR AGENDA:

9:30 a.m. Registration

10 a.m. Welcome and Opening Remarks

Gary C. Suhadolnik, Director of Commerce

10:05 a.m. Overview of Ohio Securities Law

Thomas E. Geyer, Assistant Director of Commerce

11 a.m. Securities Registration and Exemptions

Michael P. Miglets, Control Bid Attorney, Division of Securities

Mark R. Heuerman, Senior Registration Attorney, Division of Securities

Noon Lunch

12:30 p.m. Luncheon Speaker

William A. Klatt, Chief Counsel to Governor Bob Taft

1:15 p.m. Broker-Dealer/Investment Adviser Overview

Deborah L. Dye Joyce, Commissioner of Securities

2 p.m. Enforcement and Liabilities

Matthew L. Fornshell, Attorney Inspector, Division of Securities

2:45 Break

3 p.m. Criminal Prosecution Issues Panel

Robert F. Smith, Assistant Attorney General, Ohio Organized Crime Investigations Commission

Kenneth W. Oswalt

Assistant Prosecuting Attorney, Licking County

Matthew L. Fornshell, Attorney Inspector, Division of Securities

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The Division of Securities promotes an honest and fair securities market where individuals and businesses can raise capital and investors can expect a fair return on their investment. Other Commerce divisions enforce regulations regarding industrial compliance, financial institutions, labor and worker safety, real estate, liquor, auctioneers, and unclaimed funds, among others. The department's Internet address is www.com.state.oh.us

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Information believed accurate but not guaranteed.  The State of Ohio disclaims liability for any errors or omissions.