Meeting/Event Information

 Directions

September 18, 2018

September 2018 - AZ ACFE Monthly Meeting
September 18, 2018
12:00 PM - 1:00 PM
Industrial Commission of Arizona
800 W. Washington St.
Phoenix, AZ 85007
http://www.ica.state.az.us/alj/alj_map_phoenix.aspx
Catharon Software Corporation: A Case Study in Securities Fraud and Greed

$0.00 Member

$20.00 Guest

Please join us for our meeting on September 18, 2018

Topic: Catharon Software Corporation: A Case Study in Securities Fraud and Greed

Speaker: James Burgess, Enforcement Attorney, Corporation Commission-Securities Division

Agenda

  • Sign-in Begins: 11:30 AM
  • Program: 12:00 PM – 1 PM

Location:

Industrial Commission of Arizona

800 W. Washington St.

Phoenix, AZ 85007

 

Parking: Free, on the top level of the garage just west of the building

Cost: Free for members, $20 for non-members

Registration Information

Pre-registration is not required for this event. However, we encourage guests to pre-register online, as this allows you to pay your admission fee with a credit card. If you do not pre-register, cash and checks only are accepted at the door. Chapter members may also pre-register online, to save time at the sign-in table. Register online at cfe-arizona.org.

Refund Policy: Email treasurer@cfe-arizona.org to cancel. To be eligible for a refund, cancellations must be received by the 3rd business day prior to the meeting (for example, by Thursday at 5 pm before a Tuesday meeting). Credit card payments will be refunded to the credit card. Cash or check payments will be refunded by check.

Complaint Resolution: Please contact the Training Director at training@cfe-arizona.org.

Program Description

Catharon Software Corporation: A Case Study in Securities Fraud and Greed

Learning Objectives

Participants will be able to:

  • Discuss the securities fraud discovered at Catharon Software Corporation.

Program Information

  • Delivery Method: Group Live
  • Recommended Field of Study: Specialized Knowledge and Apps
  • Recommended CPE Credits: 1
    • CPE Certificates will be emailed within two business weeks to those who attend the entire program and sign in on the attendance sheet.
  • Level: Basic
  • Prerequisites: None
  • Advance Preparation: None

Presenter Information

James (“Jamie”) Burgess is a Senior Enforcement Attorney with the Securities Division of the Arizona Corporation Commission. Jamie prosecutes civil actions against investment promoters and salesmen for violations of the Arizona Securities and Investment Management Acts, particularly when the violations involve fraud.

 

Jamie has more than 25 years of litigation experience. Prior to joining the Securities Division in 2013, he was a partner at Fennemore Craig and then at the boutique law firm of Zwillinger Greek & Knecht, P.C. Jamie holds an AV® Preeminent™ 5.0 out of 5.0 peer review rating (the highest rating available) from Martindale-Hubbell.

 

Since 2006, Jamie has focused on investment fraud litigation. When he was in private practice, Jamie recovered over $6 million of losses for his clients from Ponzi schemes, affinity frauds, fraudulent real estate offerings, and other unlawful private placements. He also twice made new law that expanded the rights of Arizonans. See R & L Limited Investments, Inc. v. Cabot Investment Properties, LLC, 729 F. Supp.2d 1110 (D. Ariz. 2010) (declaring investment promoters’ arbitration clauses void because they contravened the Arizona Securities Act’s anti-waiver and one-way attorneys’ fees provisions); Farris v. Advantage Capital Corporation, 170 P.3d 250 (Ariz. 2007) (a fraudulent transfer action seeking to void the transfer of stockbroker’s million-dollar home to his relatives and thus make the home available to satisfy a judgment is an action “affecting title to real property” under Arizona’s lis pendens statute). Holding perpetrators of investment fraud accountable is Jamie’s passion.

 

Jamie received his undergraduate degree from Georgetown University’s School of Foreign Service and his law degree from Georgetown’s Law Center. Following law school, he clerked for the Honorable Sarah D. Grant of the Arizona Court of Appeals. Since 2007, Jamie has raised more than $385,000 for The Leukemia & Lymphoma Society by bicycling 100 miles around Lake Tahoe each June.

 

NASBA Statement

Association of Certified Fraud Examiners, Arizona Chapter is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have the final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.lea