Financial Crimes: Getting Ahead of the Adversaries

SKU: SEC090 Back to Course Listings

About This Course

As financial crimes evolve, staying ahead of emerging threats is essential. This CLE course explores recent fraud and money laundering trends impacting firms and markets, with a focus on actionable prevention and detection strategies.

Key topics include:

Highlights from the Annual Report’s Financial Crimes Prevention section, including investment fraud targeting retail investors, ACH fraud, AI-enabled schemes, and manipulative trading in small-cap IPOs
New and emerging fraud tactics facing firms
Money laundering trends and updates to the AML Compliance Tool
Insider threats and internal risk exposure

Attendees will gain practical insights to strengthen compliance programs, detect red flags, and respond effectively to evolving financial crime risks.

Lecturers for this Course

Gargi Sharma Esq. Peter Gonzalez Chris Delzotto Kara Suro, Esq.

Lecturer Bios

Gargi Sharma Esq.

Gargi Sharma is Investigative Director within FINRA’s Special Investigation Unit and supports a team of five investigators who conduct complex Anti-Money Laundering investigations.

Ms. Sharma is also involved with identifying industry trends that pose compliance risk, especially related to Anti-Money Laundering, and providing training internally within FINRA and to the industry.

Ms. Sharma is a Certified Anti-Money Laundering Specialist and graduated from the University of Texas with bachelor’s and master’s degrees in Finance and Accounting. Ms. Sharma works from FINRA’s Florida Office and has been with FINRA for 14 years.

Peter Gonzalez

Peter Gonzalez leads FINRA’s Anti-Fraud Investigations Unit (AFI) in its mission to proactively combat and mitigate fraud threats facing investors and the markets.

Prior to joining AFI, Peter served as a Senior Principal Investigator conducting high complexity special investigations within FINRA’s Crypto Asset Investigations team.

Peter proudly supports FINRA’s Diversity Equity and Inclusion efforts contributing throughout his career to FINRA’s Racial Justice Task Force, Diversity Leadership Summit, and Employee Resource Groups.

Fluent in Spanish, Peter holds a master’s degree in finance from Florida International University.

Chris Delzotto

In 2009, Christopher S. Delzotto entered on duty with the Federal Bureau of Investigation as a Special Agent assigned to the New York Field Office, where he worked Corporate and Securities Fraud matters.

In 2019, Mr. Delzotto was promoted to Field Supervisory Special Agent of a Bank Fraud squad in the New York Field Office.

In 2021, Mr. Delzotto was named the Assistant Special Agent in Charge of the San Antonio Field Office, where he was responsible for the Criminal and Cyber Division, two resident agencies, and the Forensic Accounting Program.

In August 2024, Mr. Delzotto was named Section Chief of the FBI’s Financial Crimes Section, responsible for managing the FBI’s Financial Crimes investigations.

Education:

Bachelor of Science in Business Administration – 2002 (University of Central Florida)
Master of Business Administration – 2007 (University of Central Florida)

Kara Suro, Esq.

Kara Suro is a Managing Director and Head of Fraud Risk Management responsible for governance and implementation of Schwab’s Fraud Risk Management Program, including orchestration of firm-wide fraud prevention, detection, response, and reporting elements. In this role, Kara also oversees the surveillance and investigations teams responsible for providing enterprise-wide coverage relating to financial and cyber fraud against clients as well as fraud and regulatory violations associated with Registered Investment Advisors (RIAs) using Schwab’s Advisor Services platform.

Prior to returning to Schwab in her current capacity in 2015, Kara was a Director with Schwab’s Compliance Regulatory Group from 2011 to 2012. Kara has a JD and was previously a securities attorney with Bingham McCutchen.

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Financial Crimes: Getting Ahead of the Adversaries

About This Course

Key topics include:

Lecturers for this Course

Spend less and get more

Dedicated CLE Manager

Riveting Content & an Exceptional Library

Free Customized CLE Tracker

Online, Audio CD, DVD, iOS/Android App, USB Stick

Want Different Options?

Subscribe for Course Updates and News

Subscribe for Course Updates and News

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