November 19, 2014 Presentation
1st Hour – 3:00 – 4:00 p.m.: Update of the AZ Corporation Commission – Securities Division’s Regulatory Oversight
This session will provide an overview of the Arizona Corporation Commission-Securities Division’s regulatory oversight and enforcement of the Securities Act and Investment Management Act, how matters can be brought to the Division’s attention, recent enforcement matters, and senior investor issues. At the end of the session, you will better understand the functions of the Securities Division, how securities matters may relate to your business operations, signs of possible securities violations, agencies you can contact to file complaints or where to report suspected fraud or financial abuse.
Presenters for this first hour will be: Matthew J. Neubert has served as the Director of Securities of the Arizona Corporation Commission since 2003. He has also served as an Enforcement Attorney and as Director of Registration and Compliance for the Division. Mr. Neubert received his law degree from Arizona State University. He is a member of the State Bars of Arizona and Washington .
Phong (Paul) Huynh is currently the Assistant Chief Counsel of Registration and Compliance at the Securities Division. Paul received a Bachelor’s Degree in Finance, summa cum laude, from Arizona State University and his law degree from the University of Arizona. Paul’s main duties involve registration and licensing matters concerning advisers and representatives, supervising the compliance and examination team, and investigating complaints regardingArizonasalesmen and advisors.
Second hour speaker from 4:00 – 5:00:
“1,001 Ways to Avoid an Arbitration or Regulatory Proceeding” – Attorney Alan Baskin
In November 2013, Alan Baskin co-founded Baskin Richards PLC after nearly ten years with Bade Baskin Richards (the first seven as Bade Baskin). He was the 2012-2013 Chairman of the Executive Council of the State Bar’s Securities Regulation Section. Mr. Baskin was formerly an Assistant Attorney General in the Organized Crime and Fraud Section of the Criminal Division of the Arizona Attorney General’s Office and was Senior Counsel in the Enforcement Section of the Securities Division of the Arizona Corporation Commission. He received his B.A. in economics from Georgetown University and his J.D. from Arizona State University College of Law. Mr. Baskin is the only attorney over the past 20 years to obtain an award of attorneys’ fees against the Arizona Corporation Commission in an appeal of a securities case; he has done so twice. He has chaired or sat on the Securities Regulation Section’s State Bar Convention CLE panel multiple times, and has also been a panelist or chair of a number of state and county bar programs related to enforcement proceedings by securities regulators, securities litigation and white collar crime. Mr. Baskin has long held an AV® Preeminent® Martindale-Hubbell Rating and for the past several years has been named a Southwest Super Lawyer®.
Mr. Baskin has been making presentations on securities matters for over 20 years. Some of his presentations over the past few years include:
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