The Financial Forum welcomes Jason Lee, Thomas Eme, Leon Leung, and Roland Lo from the U.S. Securities and Exchange Commission for an important program on PROTECTING THE SENIOR INVESTOR, March 24th at 3 PM in the Fireside room
This presentation will highlight current risks facing older investors, how to recognize and avoid fraud, and the SEC’s efforts to safeguard the financial well‑being of seniors.
Jason H. Lee, Associate Director, Division of Enforcement, SEC San Francisco Regional Office. Jason Lee oversees the SEC’s enforcement program across Northern California, Oregon, Washington, Montana, Idaho, and Alaska. Before joining the Commission, he practiced law at Latham & Watkins LLP. He holds a law degree from the UC Berkeley School of Law, where he served as Articles Editor for the California Law Review, and a bachelor’s degree from Brown University.
Thomas Eme, Senior Counsel, Division of Enforcement, SEC San Francisco Regional Office. With twenty‑five years at the SEC, Thomas Eme has investigated a wide range of investor fraud cases. He previously clerked for a U.S. District Court Judge. Originally from Chicago, he earned his law degree from Loyola University Chicago School of Law and his undergraduate degree from Western Illinois University.
Leon H. Leung, Examination Manager, Division of Examinations, SEC San Francisco Regional Office. Leon Leung joined the SEC in 2022 after a career in compliance roles, including positions at ACA Compliance Group, a quantitative investment adviser, and most recently as Director of Compliance at Golden Gate Capital, a private equity firm with over $15 billion in assets under management. He holds a bachelor’s degree from UC Berkeley and a law degree from Golden Gate University School of Law.
Roland Lo, Securities Compliance Examiner, Division of Examinations, SEC San Francisco Regional Office. Roland Lo examines investment advisers for compliance with federal securities laws. Before joining the SEC in 2023, he conducted Anti‑Money Laundering investigations at First Republic Bank and served as an Examiner with FINRA. He earned his undergraduate degree from the University of Maryland.
The Financial Forum is a 501(c)(3) nonprofit organization dedicated to educating its members on all aspects of personal finance, including estate planning, wealth management, insurance, real estate, elder abuse, fraud, and identity theft. Donations are welcome and greatly appreciated.
To register for this event, click the Register button. For more information about the speakers or to become a member, please contact Joe Hoffman at 925‑954‑7912. Light refreshments will be served.
