The Financial Forum welcomes Monique Winkler, Regional Director for the Securities and Exchange Commission’s San Francisco office, to the Fireside room at Gateway Clubhouse at 3 PM on February 27th. Her topic will be “Protecting the Senior Investor”. Ms Winker was the supervisor on the investigation of Theranos and Elizabeth Holmes and, most recently, Charles Schwab subsidiaries for misleading their robo-advisor clients about the absence of hidden fees. Schwab paid $52 million in disgorgement, prejudgment interest, and a $135 million civil penalty. She received her bachelor's degree from Indiana University and her law school degree from Vanderbilt School of Law.
Joining her will be Chrissy Filipp, Assistant Regional Director for Enforcement for the SEC’s SF office, Sallie Kim, Supervisory Counsel for the Division of Enforcement, and Drew Liming, Staff Attorney in the Division of Enforcement. Ms Filipp supervises a variety of investigations and litigation matters. She received her law degree from UCLA and an undergraduate degree from Wellesley College. Sallie Kim is responsible for oversight of the office's outreach efforts. She received her B.A. from Yale University and her law degree from NYU School of Law. Drew Liming received his undergraduate degree from the University of Virginia and his law degree from Georgetown University.
The Financial Forum is a 501 (c)3 in good standing. Our mission is to educate our members in all finance matters, from wealth management, estate planning, insurance, real estate, fraud prevention, and identity theft. Donations are welcomed and greatly appreciated. There will be light refreshments available. To sign up, please press the Register button. For more information on the speaker or to learn more about becoming a member, please call Joe Hoffman at 925-954-7912.
