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The AAII Columbus Chapter presents...


"Auditing Stockbrokers"

    Discussed by:

    Tom Atzberger
    Compliance Counsel, Alan K. Mooney’s Money Foundation think tank

Auditing in any business is a crucial tool for prevention and education. Tom Atzberger will present a number of tools to aid representatives in the process so that they are not blindsided and they are truly organized to deal with a visit from a regulator.

Attend This Meeting and Learn...
How complex the work of a representative is
How regulators oversee their conflicted work
How the system is trying to protect the investor

  MEETING DETAILS
Date:
Wednesday, May 14, 2014
Time:
6:15 p.m.    Dinner
7:15 p.m.    Program
Location:
MCL Restaurant & Bakery
3154 Kingsdale Center
Upper Arlington, OH 43221
614/457-1625
[ Map This Location ]
Payment:
At the Door
Everyone, the menu cost and tip of your restaurant meal. A one
dollar tip per person is suggested for the waiter. There are no
other charges.
ADVANCE REGISTRATION CUTOFF DATE: Please call or email Doug
Smith by 3 days prior to the meeting date, to give us an idea
of how many people will be attending the meeting and how many handouts to print. Telephone number: 614/885-1480;
email: stocksmith@hotmail.com.
  SUBGROUPS

Subgroups

Computerized Investing
Information: James Hapner, 614/823-8625
This computerized investing group meets 9:00 a.m. to 11:00 a.m. on the second Saturday of each month from September through May at Panera Bread, 875 Bethel Rd., Columbus, OH.

Individual Stocks and Mutual Funds
Information: Doug Smith, 614/885-1480
The individual stocks and mutual funds SIG meets 9:00 a.m. to
11:30 a.m. on the fourth Saturday of each month at the lower level of Park Bank, 7140 North High St., Worthington, OH.

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