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.
  Special Interest Groups (SIGs)

SIG meetings do NOT require advance registration (some may request an RSVP). Most are free of charge. Contact the group leader if you need additional information to attend.

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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