Presentation: Investment Fraud Prevention

Learn how to protect yourself from investment fraud and scams in this presentation by the U.S. Securities and Exchange Commission (SEC).

Topics include:

• What the SEC does and how it helps protect investors
• Common red flags for investment fraud
• How to recognize and avoid relationship investment scams
• Tools, alerts and resources available on investor.gov

About the presenters:

Aylien Jani is a Securities Compliance Examiner with the SEC’s San Francisco Regional Office and conducts exams of investment advisers.  Prior to joining the SEC, Aylien worked as an examiner for a not-for-profit regulator of broker-dealers, and as an auditor at a large multinational bank.  She earned her bachelor’s degree in environmental sciences from the University of California, Berkeley.

Drew Liming is an Enforcement Attorney in the SEC’s San Francisco Regional Office.  His work involves investigating a broad range of securities law violations, from insider trading to offering frauds.  Before joining the SEC, Drew worked at law firms where he focused on securities litigation and investigations.  He received his undergraduate degree from the University of Virginia and his law degree from Georgetown University.

The SEC is a federal government agency whose mission is to protect investors; maintain fair, orderly and efficient markets; and facilitate capital formation.  All information provided by the staff is as a service to investors, and does not constitute legal advice or investment advice.