The presentation will provide an overview of the U.S. Securities and Exchange Commission SEC) and its mission, what the risks are associated with various types of investments, how to research an investment and an investment professional, what are the “Red Flags” of investment fraud schemes, and how to financially prepare for a diminished capacity. A Question & Answer period will follow the presentation.
Terry Paggi has been with the U.S. Securities and Exchange Commission since November 2011 where he is an Investor Assistance Specialist handling complaints of investors made against financial firms and individuals in the investment sector, and conducts preliminary investigations into allegations of federal securities laws. Prior to working at the SEC, Mr. Paggi was the Director of Investigations with E*TRADE Financial and a Detective with the Will County Sheriff’s Office. Mr. Paggi is also a Vietnam Era Marine Corps Veteran.