Conference to Focus On Prudent Investing

By Mary Beth Spina

Release Date: April 8, 1998 This content is archived.


BUFFALO, N.Y. -- Whether you have a diversified investment portfolio or two shares of Disney stock, you won't want to miss an investor education conference to be held April 18 in the University Inn and Conference Center, 2401 N. Forest Road, Amherst.

Sponsored by the Securities Clinic, a collaborative program of the UB schools of law and management, and the Gerald and Sandra Lippes Endowment for Entrepreneurial Law and Strategy, "The Prudent Investor" will begin at 8 a.m. and continue through 5 p.m.

Topics to be discussed include investing for retirement and education, factors to consider before investing, how taxes affect investment strategies, the Roth IRA, how capital markets operate and are regulated, and how to resolve securities brokerage account disputes through arbitration and mediation.

Securities fraud, including fraud on the Internet, will be addressed at the noon luncheon by keynote speaker Edwin H. Nordlinger, deputy regional director for the Northeast Regional Office of the U.S. Securities and Exchange Commission in New York City.

Guest speakers will be Valerie Bailey Johnston, senior attorney, National Association of Securities Dealers (NASD) Regulation Inc., New York City, and David R. Robbins of Kaufmann, Feiner, Yamin, Gildin & Robbins LLP. Johnston will discuss "Dispute Resolution Through Arbitration and Mediation." Robbins' topic will be "Evaluating Your Securities Arbitration and Mediation Case."

Speakers from UB will be Joseph P. Ogden, Ph.D., chair of the Department of Finance in the School of Management, "The Basic Factors to Consider Before Investing," and Cheryl C. Nichols, clinical instructor of law, on "The Regulatory Framework of the Securities Market."

A panel discussion of general investment opportunities moderated by Ogden will include Suzanne M. Novelli, financial consultant with Moldenhauer and Associates; Patrick J. Carmody, Ph.D., Private Client Group, Merrill Lynch, and David E. Mickey, investment executive with M&T Securities Inc.

Donald G. McGrath of Falk & Siemer LLP will moderate a panel on investing for retirement and education. Panelists will include Ann Burstein Cohen, UB adjunct assistant professor of accounting and law; Stephen Horan, Ph.D., St. Bonaventure University, Olean; Novelli, Carmody and Mickey.

Ogden and Nichols are co-directors of UB's Securities Clinic, which will become fully operational in the fall. It will be one of three pilot securities arbitration clinics sponsored by the U.S. Securities and Exchange Commission.

The registration deadline is April 10.

The fee of $45 per person (U.S. funds) is payable by check, MasterCard or Visa and includes breakfast and lunch. Call 716-645-2091/3293 for additional information.