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Securities Fraud (Completed)

2 CPE Credits $71.00/credit hour Friday, March 13, 2026 · 9:00am PT / 12:00pm ET
3.0 (2 ratings)
Securities fraud is one of the most damaging white-collar crimes, involving deceptive practices that mislead investors and distort financial markets. From misrepresentation of material facts to complex fraud schemes, these violations can lead to severe civil and criminal consequences.

Join Susan Harper, a seasoned IRS expert with decades of experience in fraud enforcement, for an engaging and practical session. This course will help you identify what constitutes a security, understand the laws and regulations governing securities, and recognize common fraud schemes. You’ll also explore investigative tips and IRS consequences for those involved in fraudulent activities, supported by real-world case studies.

Don’t miss this opportunity to strengthen your ability to detect, prevent, and respond to securities fraud, protecting your clients and your organization from costly risks.

Topics Covered

  • Definition of a Security
  • Securities Laws and Regulations
  • Securities Fraud Schemes
  • Investigative Tips
  • IRS Consequences (Civil & Criminal)
  • Case Studies

Learning Objectives

  • Define what constitutes a security under U.S. law
  • Explain key laws and regulations governing securities
  • Identify common securities fraud schemes and red flags
  • Assess IRS civil and criminal consequences for fraud violations
  • Apply investigative strategies through real-world case studies

Level
Basic

Instructional Method
Group: Internet-based

NASBA Field of Study
Specialized Knowledge and Applications (2 hours)

Program Prerequisites
None

Advance Preparation
None

Instructor

Susan Harper

Susan Harper, Certified Fraud Examiner, began her career as an Internal Revenue Agent with the Internal Revenue Service in 1988. She joined the first Abusive Tax Avoidance Transaction group in 2002 before becoming a Fraud Enforcement Advisor in 2008 through 2021 where she helped other auditors, who identified first indicators of fraud in their examinations. Later, Susan joined Research, Applied Analytics, and Statistics in 2021 and recently retired as the Technical Advisor to the Chief Operating Officer. Susan has been instructing CPE seminars for 25 years and looks forward to interacting with her audience for many years to come.
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