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September 13 2017 - Evening Education Meeting
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When: Wednesday, September 13, 2017
5:00 PM - 8:00 PM
Where: 3 West Club
Room: Salon
3 West 51st Street
New York, New York  10019
United States

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Date: Wednesday, September 13, 2017

Time: 5:00 PM - 8:00 PM

3 West Club

Room: Salon
3 West 51st Street
New York, NY 10019

Title: Protecting Investors


Speaker: Katherine Milgram - Chief of the New York Attorney Generals Office

Program Description:
The Investor Protection Bureau – New York State Office of the Attorney General will present “Protecting Investors”. They will be speaking about what they do, some recent cases and how advisors can help their clients. Advisors will be able to take away some new knowledge of consumer protection laws which will be very useful guiding clients through tough times.

Learning Objective:
This presentation will focus on consumer protection laws and how to protect clients and ourselves from fraud and what to do if fraud is encountered.

Level of Complexity: I

Applying for 2 CFP® CE credits with the CFP Board. You can also earn 2 CPE credits for NY licensed CPAs.

Registration Fees:
FPANY Member - Free
Non-FPANY Member - $50
NYU Student - Free (Please contact us at to register.)

About our Speaker:
Katherine C. Milgram is Chief of the New York Attorney General’s Investor Protection Bureau. The Investor Protection Bureau enforces the Martin Act, New York State’s securities law. Ms. Milgram oversees the Bureau that has long been a driving force behind critical financial industry reforms on behalf of investors. As Chief of the Investor Protection Bureau, Ms. Milgram leads securities fraud investigations and litigations against individuals and institutions, including financial firms and publicly traded companies. Ms. Milgram has led teams pursuing cases involving electronic trading services, dark pool trading venues, foreign currency exchange, and brokerage fees, as well as a number of issues associated with private equity, hedge funds, and mutual funds. Ms. Milgram also serves on the Multi-Jurisdictional Enforcement Committee of the North American Securities Administrators Association. Prior to joining the Office of the Attorney General, Ms. Milgram was an attorney in private practice at Morgan, Lewis & Bockius LLP and Bracewell LLP, where she represented clients in criminal and regulatory investigations, securities litigation, and other commercial disputes. She also served as a law clerk to the Honorable Robert B. Kugler in the United States District Court for the District of New Jersey. Ms. Milgram is a native Texan and a graduate of the University of Pennsylvania Law School and Middlebury College. Ms. Milgram volunteers her time teaching financial literacy courses to disadvantaged New Yorkers through her membership in the New York Junior League.




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