Thursday, February 6, 2014

3rd Annual Fraud Conference

Objective: To provide attendees a comprehensive overview of fraudulent acts such as Ponzi schemes, illegal banking activity, and hiding assets from legitimate claims. This conference will also review the role of the CFE as an expert witness as well as the CPA in an IRS criminal investigation. In addition, the prosecutor's perspective of a fraud trial will be examined.

Designed For: Practitioners and financial professionals who want to learn more about how fraudulent activities may impact their firms and/or clients.

Prerequisite: None

Course Level: Basic

7:15 a.m. - 8:00 a.m.

Registration and Continental Breakfast

8:00 a.m. - 9:15 a.m.

Ponzi Schemes: The goal of the Securities and Exchange Commission (SEC) is to protect the markets and facilitate capital formation. Accountants play a larger role in this mission than many people realize. The presenter will review the role of accounting professionals in the securities industry, especially the enforcement of securities law. Presenter: John Popham

John Popham retired as an attorney with the Enforcement Division of the SEC in 2012 after 10 years with the agency.

9:15 a.m. - 9:30 a.m.


9:30 a.m. - 10:45 a.m.

Secrecy Act Forms (SARs): Overview of the Bank Secrecy Act and Suspicious Activity Reports filed by financial institutions, and brief accounts of several local cases generated by these reports. Presenter: Maurice Clark

Maurice Clark served in Washington, DC as the IRS-CI liaison to FinCEN and as National Program Manager for SAR Review. He currently contracts with IRS-CI as an advisor and financial investigator in Dallas, TX. He has extensive understanding of & experience with the Bank Secrecy Act, Money Laundering, and Asset Forfeiture.

10:45 a.m. - 11:00 a.m.


11:00 a.m. - 12:15 a.m.

One Cowboy, Two Investors and Who Owns the Cattle? (Tracing Assets in a Civil Case): Using a case study, the presenters will discuss ownership when multiple parties claim rights to the same property, including the tracing of funds used to obtain the property in question. Claims, counter-claims, discovery and the advantages of an attorney and financial professional team will be explored. Presenters: Pam Faris and Vincent Circelli

Pam Faris, Principal at PS Faris Financial , works in the firm’s Litigation & Valuation Services Department. She has extensive experience in mediation and settlement conferences; complex tracing, characterization and forensic financial analysis; and document management and case file organization. Pam received the 2012 President’s Award from the Texas Academy of Family Law Specialists.

Vincent Circelli serves as an Associate Attorney with Haynes and Boone, LLP and represents plaintiffs and defendants in all aspects of commercial litigation. Chosen by his peers as one of Fort Worth’s Top Attorneys in Civil Litigation (2011 and 2012 Texas Magazine), he is President-Elect of the Tarrant County Young Lawyers Association.

12:15 a.m. - 12:45 p.m.


12:45 p.m. - 2:00 p.m.

The CFE Testifying as an Expert Witness: Fraud and other financial crimes have several unique litigation considerations, due largely to their complexity when compared to other crimes. The presenter will examine the role of expert witnesses in explaining complex financial concepts and crime issues in such a way that laypersons can understand them. Presenter: Jeanette Hanna

Jeanette Hanna is a Forensic Financial Analyst with the Tarrant County District Attorney’s Economic Crimes Unit. In addition to analyzing and preparing data for prosecutors and juries, she serves as an expert witness for the state of Texas and has firsthand experience in the courtroom, presenting and testifying about financial crimes.

2:00 p.m. - 2:15 p.m.


2:15 p.m. - 3:30 p.m.

Role of the CPA in an IRS Criminal Investigation: This session focuses on a CPA/Return Preparer’s role in an IRS Criminal Investigation of a client. The presenter will discuss what to expect, what to watch out for, and possible exposures the CPA/Return Preparer has in such an investigation. Presenter: Max Wayman

Max Wayman is president of Max M.Wayman & Associates and has been directly involved with financial investigations for more than 39 years. He also served as a special agent with the Criminal Investigation Division of the Internal Revenue Service.

3:30 p.m. - 3:45 p.m.


3:45 p.m. - 5:00 p.m.

The Fraud Case from a Prosecutor’s Perspective: Drawing upon her knowledge of the courtroom and numerous Tarrant County fraud trials, the presenter will share some of the do’s and don’ts for the fraud investigator. Presenter: Lori Burks

Lori Burks, JD, CPA, serves as an Assistant District Attorney in the Tarrant County Criminal District Attorney’s Office. She is lead attorney for the Economic and Computer Crime Unit and also serves as Coordinator of the Internet Fraud/Crime Complaint Project.

5:00 p.m.

Concluding Remarks/Dismissal

Please join us after the last session for a time of social networking and refreshments.

Contact Information

3rd Annual Fraud Conference

Tom Tolleson, Professor of Accounting
Texas Wesleyan University
Phone: 817-531-4840
Fax: 817-531-6585

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