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Fraud Detection and Prevention

Total Credits
1 - 1.2
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Attend this session to hear about recent and noteworthy fraud cases.

This session focuses on recent or noteworthy fraud trends impacting the financial services industry. Panelists highlight emerging trends in financial frauds related to the brokerage industry, provide tips to identify potential “red flags,” and discuss what to do if a fraudulent scheme is suspected.

After attending this session, you will be able to:

  • Understand emerging trends in this new COVID environment in securities fraud and identify potential threats.
  • Identify potential red flags associated with different types of financial fraud.
  • Discuss what to look for in identifying elder abuse and practices firms can implement to protect seniors
  • Know who to contact to report potential fraud.

Lecturer Bios

Greg Ruppert, Esq.

Greg Ruppert is Bank Secrecy Act Officer and a Senior Vice President in Charles Schwab Corporation’s Corporate Risk Management department. In his role, Mr. Ruppert is the Chief of the Financial Crimes Risk Management group, which encompasses the enterprise-wide BSA/Anti-Money Laundering, OFAC/Sanctions, Fraud Investigations, Anti-Bribery, Advisor Surveillance and Investigations, Cyber Crime Investigations, and Internal Investigation programs of the corporation.

Mr. Ruppert is also the Corporate Responsibility Officer. Prior to joining Schwab, Mr. Ruppert spent more than 17 years with the FBI. In his last assignment, he was a senior executive at FBI Headquarters in Washington D.C. where he oversaw the Cyber Division's efforts to combat the highest priority cyber threats emanating from Asia, Eurasia, Middle East, and Africa. Mr. Ruppert began his FBI career in the Boston Field Office specializing in complex corporate and securities fraud, money laundering, financial crimes, and cyber fraud. He also served on the Enron Task Force as a senior investigator assigned to investigate Enron’s CFO and other senior corporate officials.

During his tenure with the FBI, Mr. Ruppert also focused on the FBI's anti-terrorism efforts. He led a team, as part of the FBI’s 9/11 investigation, which uncovered the hijackers’ financial activities and sources of funding. He later joined the Terrorist Financing Operations Section where he created a unit responsible for the investigation of terrorism-related money laundering and illegal charity-based fundraising. Mr. Ruppert served internationally in the Netherlands and Germany. He also headed up high profile international terrorism investigations as Assistant Special Agent in Charge of the Extraterritorial Squads based out of the Washington DC Field Office.

Mr. Ruppert is a member of the FinCEN Bank Secrecy Act Advisory Group as well as District Committee Member for FINRA. He is also clinical professor for the University of the Pacific (UOP), School of Engineering and Computer Sciences’ Data Analytics Master’s Program. Mr. Ruppert also serves on the Industry Advisory Board for the UOP’s Cybersecurity Program. Mr. Ruppert is an active member of the California bar.

Lisa DeVos

Lisa DeVos is Managing Director of the Financial Crimes Training & Awareness program for our Financial Crimes Risk Management Unit of Charles Schwab & Co., Inc. Ms. DeVos manages several teams and functions related to fraud risk mitigation, including internal and external education, events, and materials; research; trend monitoring and issue management.

Ms. DeVos joined Schwab in 1999 in the Retail Trading division, and later joined Advisor Services in 2001 where she supported Registered Investment Advisors. She then transitioned to the risk side of the business where she’s spent the last 13 years leading large scale efforts geared at reducing firm risk, increasing operational efficiencies, and promoting financial crimes awareness.

Ms. DeVos resides in Orlando, Florida, and holds the Series 7, 9, 10 and 63 licenses

Siddhartha Patel

Sid Patel is the Assistant Special Agent in Charge (ASAC) in the San Francisco Division of the FBI. As of September 2018, Mr. Patel has been the Assistant Special Agent in Charge of the Criminal Program of the San Francisco Division which includes financial crimes, intellectual property rights, healthcare fraud, public corruption, and civil rights violations. Mr. Patel joined the FBI as a Special Agent in 2003, was assigned to the San Francisco Division, and worked a variety of violations to include domestic terrorism, cyber threats, public corruption, human trafficking, and civil rights. He was also the hate crimes coordinator for the San Francisco Division. In June 2007, Mr. Patel transferred to the Los Angeles Division and investigated international terrorism matters. In 2008, as part of the Rapid Deployment Team, Mr. Patel deployed to South Asia to assist with the Mumbai terrorist attacks.

As a case agent, Mr. Patel arrested and indicted an individual providing money overseas to Al-Qaeda and the Taliban. In 2012, Mr. Patel was promoted and assigned to FBIHQ to the Counterterrorism HUMINT Operations Unit (CHOU) in the Counterterrorism Division. In this capacity, Mr. Patel led and managed overseas operations in high threat areas to include Syria and Iraq in partnership with other intelligence community agencies. In February 2014, Mr. Patel returned to the Orange County Resident Agency of the Los Angeles Field Office to continue investigating international terrorism matters including an indictment and arrest of an individual trying to travel overseas to Syria and join ISIL. In October 2014, Mr. Patel was promoted to a Supervisory Special Agent (SSA) for the Inland Empire Joint Terrorism Task Force (JTTF) as part of the Los Angeles Field Office of the FBI overseeing counterterrorism in San Bernardino and Riverside Counties. During the San Bernardino terrorist shooting incident in December 2015, he received the first call to the FBI to respond to the incident as one of the two JTTF SSAs.

A few months later, he served as the lead SSA over the investigation. Mr. Patel's team received the Director's Award and the Attorney General's Award for their involvement in this investigation. In October 2017, within 24 hours of the Las Vegas shooting incident, Mr. Patel deployed and assisted the Las Vegas Division with this investigation. Mr. Patel was FBI certified as both a Hostage Negotiator and for HAZMAT, and he has worked high profile domestic and international investigations. Prior to the FBI, he spent several years working in the private sector as a business consultant and project manager with Fortune 500 companies like Deloitte Consulting as well as a startup technology company. Mr. Patel earned both his Bachelor of Science and Master of Science degrees from Carnegie Mellon University in Pittsburgh, Pennsylvania.

Craig Timm, Esq.

Craig Timm is the Global Financial Crimes Executive for Emerging Risk, Strategic Initiatives and Government Liaison. In this role, he is responsible for the management of strategic initiatives related to financial crimes, including participation in the Bank Secrecy Act Advisory Group, 314(b) information sharing initiatives, and the Wolfsberg Group as well as managing the day-to-day liaison with FinCEN, the U.S. Treasury, senior financial crimes policy officials at the OCC and Federal Reserve Board, key law enforcement agencies, and the U.S. Department of Justice.

From 2016 to 2019, Mr. Timm was the Global Financial Crimes Executive for the Global Wealth and Investment Management business lines where he served as the designated Anti-Money Laundering Compliance Officer for Merrill Lynch Pierce Fenner & Smith and U.S. Trust Company of Delaware.

Mr. Timm joined Bank of America in January 2016 from the Department of Justice, having most recently served as a Deputy Chief in the Asset Forfeiture and Money Laundering Section in the Criminal Division at headquarters in Washington, DC. In that role, he led a team of prosecutors responsible for enforcing criminal violations of the Bank Secrecy Act, U.S. Economic Sanctions and money laundering laws committed by financial institutions and their employees. As a trial attorney in the same unit, Mr. Timm prosecuted some of the largest financial institutions in the world including BNP Paribas, HSBC and MoneyGram.

Mr. Timm began his career with the Department of Justice as an Assistant United States Attorney in the District of Arizona. He was also an Associate at Sidley Austin in Chicago. Mr. Timm has an undergraduate degree from the University of Michigan and a law degree from the Northwestern University School of Law. Mr. Timm works out of the Washington, DC office.

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