Conference Agenda

6th Annual Fraud Conference: Friday, April 7

The objective of the conference is to provide attendees a comprehensive overview of:

  • Financial Statement and Securities Fraud
  • An Analysis of Frauds in a Probate Office and a Charter School
  • Using Face Reading to Improve Communication Skills
  • Fraud from an Investigative Reporter's Perspective
  • Audit Concepts and Techniques in Fraud Examination
  • Ethical and Unethical Behavior in Fraud Investigations

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

 
Conference Agenda

7:15-8 a.m.

Registration and Continental Breakfast

8-9:15 a.m.
Financial Statement and Securities Fraud

This session will focus on Financial Statement and Securities Fraud. Presenter: Marshall Gandy, J.D.

Marshall Gandy is a Senior Officer and Associate Regional Director in the Fort Worth Regional Office of the Securities and Exchange Commission. Mr. Gandy leads a staff of forty-five accountants, examiners, attorneys, and support personnel responsible for examining broker-dealers, investment companies, investment advisors, hedge fund managers, private equity firms, municipal advisors and transfer agents in Texas, Oklahoma, and Arkansas.

From 1999 through 2007, Mr. Gandy was a Trial Attorney in the Fort Worth Regional Office with litigation responsibility for enforcement actions authorized by the Commission in the United States District Courts involving violations of federal securities law. Mr. Gandy has assisted several United States Attorney's offices in the preparation and presentation of criminal prosecutions involving securities fraud and related offenses. Mr. Gandy began his legal career in Dallas, Texas as a County Criminal Court Judge and an Assistant District Attorney. He obtained his J.D. from Southern Methodist University.

9:15-10:05 a.m.
Fraud in a Probate Office and a Charter School: An Analysis
Presenters: Kayla Cargill, Kimberly Griggs, Lisa Huynh and Max Wayman, EA, CFE 

Kayla Cargill, Kimberly Griggs and Lisa Huynh are Wesleyan alumnae of the University's fraud emphasis program. Kayla and Lisa also earned their MBA at Wesleyan. Kimberly is currently a Wesleyan MBA student. All three are employed by XTO Energy, a subsidiary of Exxon-Mobile.

Max Wayman is president of Max M. Wayman & Associates and has been directly involved with financial investigations for more than 42 years. Before becoming a businessman in the private sector, Mr. Wayman was a special agent with the Criminal Investigation Division of the Internal Revenue Service. Mr. Wayman also serves on Texas Wesleyan's Board of Trustees and as Chair of the University's Fraud Examination/Forensic Accounting Program's Advisory Board.  

Break from 10:05-10:15 a.m.

10:15 a.m.-12:15 p.m.
Facial Reading

This session will provide participants with information and experience to enhance their communication skills. Presenters: Mac Fulfer

Mac Fulfer practiced law in Fort Worth, Texas for nearly 22 years after earning his Doctorate of Jurisprudence from the University of Texas in 1975. He quickly discovered that face reading changed his perspective on jury selection, allowing him to see people more compassionately through the experiences reflected on their faces.

Since then, he has researched and developed these skills and presented ideas in workshops across the country. His workshops are in great demand from associations, lawyers, educational institutions, Fortune 500 companies and other venues that have an interest in understanding people. As a presenter, Mr. Fulfer relies on his background, personal experience, wisdom and expertise in face reading to provide participants with information and experience that will enhance their communication skills.

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

Lunch 

12:45-2 p.m.
Fraud from an Investigative Journalist's Perspective

Investigative journalism allows us to learn something new every day. We are constantly exposing wrong-doing and investigating abuse of power by giving voice to those who may not have one without the media. Using several of our news investigations as examples, I will dive into the tools and challenges of our trade - publicly accessible documents, searchable websites and databases, on and off the record contacts, and our often hidden "spy-like" gadgets. Presenter: Ginger Allen

Ginger Allen graduated from the University of California, Los Angeles with a degree in Mass Communications and an emphasis on Media. She is the Senior Investigative Reporters for the CBS 11 "I-Team". Ginger received an Edward R. Murrow Award after helping a North Texas mother track down lost cord blood she desperately needed for her sick child. After she bans investigating, authorities shut down the blood bank. Ginger then exposed loopholes in the entire cord blood banking industry that were potentially putting others at risk.

Ginger has also been recognized numerous times by the Dallas Bar Association. She was honored with the organization's Grand Prize Stephen Philbin Award for her ongoing investigation into questionable deaths and medical standards at a Texas State Jail. The Texas State Comptroller agreed to audit convenience stores around North Texas after Ginger found many of them overcharging customers by taxing items that should not be taxed. The reports won a Lone Star Emmy Award. Ginger's reporting has also earned her the Texas Gavel Award from the State Bar of Texas, as well as recognition from the Associated Press, the Press Club of Dallas and the California Department of Health Services Award.

Break from 2-2:15 p.m.

2:15-3:30 p.m.
Audit Concepts and Techniques in Fraud Examination

As fraud examiners, we come from a variety of backgrounds including law enforcement, accounting, loss prevention and internal audit to name a few. This presentation will discuss certain concepts and techniques that can be used by fraud examiners, regardless of background, that are common tools used every day by auditors. We will discuss how to approach fraud examination from a risk perspective and how identification of weaknesses in control systems can identify vulnerabilities that make an organization ripe for fraud. Presenter: Leslie Wilks from Whitley Penn

Leslie Wilks has over 12 years of experience in auditing and consulting services to school districts, municipalities, counties, and special purpose districts. She has extensive knowledge of Generally Accepted Auditing Standards, Government Auditing Standards, and with the Office of Management and Budget (OMB) requirements under the Uniform Grant Guidance. Leslie is a member of several professional and civic organizations, including the AICPA, TSCPAs, Texas Association of School Business Officials, ACFE and the National Association of Construction Auditors. She has conducted forensic accounting and fraud examination of various governmental entities and conducted audits in accordance with the Federal Acquisitions Regulations (FAR 31).

Break from 3-3:45 p.m.

3:45-5 p.m.
The Ethical and Unethical, the Good and the Bad

A look into the behavior encountered by an individual in the "trenches" leading the charge against those who engage in fraud. Presenter: Lori Burks, CPA, JD

Lori Burks served as an Assistant District Attorney in the Tarrant County Criminal District Attorney's Office. She was lead attorney for the Economic and Computer Crime Unit and also served as Coordinator of the Internet Fraud/Crime Complaint Project. Lori also worked in the U.S. Attorney's Office, Dallas.

5 p.m.
Concluding Remarks/Dismissal

Contact Us
6th Annual Fraud Conference

Tom Tolleson
Professor of Accounting
Phone: 817-531-4840 
Fax: 817-531-6585 
ttolleson@txwes.edu

Office Hours

Monday - Friday  
8 a.m. - 5 p.m.

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