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Pepperdine | Caruso School of Law

Tricks of the Trade: Outsmarting Investment Fraud

This program was first offered on October 22, 2011.

Presented by:

Straus Institute for Dispute Resolution

Geoffrey H. Palmer Center for Entrepreneurship and the Law

The Investor Advocacy Clinic*

This is an interactive program designed to educate consumers of all ages and income levels on how to protect themselves, their friends, and family from becoming victims of investment fraud by con artists and scammers.  The program will teach participants: 

  • The key questions to ask before making any investment decision; 

  • How to verify the legitimacy of investment products and professionals; 

  • How to recognize and avoid common tactics fraudsters use; 

  • Are you at risk for investment fraud?

The program features a panel of distinguished experts in the field of investor representation, financial regulation, and alternative dispute resolution.


  • Robert A. Uhl,  Director, Investor Advocacy Clinic, Pepperdine University Caruso School of Law, and Partner, Aidikoff, Uhl and Bakhtiari
  • Cynthia A. Kittle,  Senior Regional Counsel, Los Angeles District Office, FINRA Department of Enforcement
  • David Green, Director, FINRA Los Angeles District Office
  • Laura McNamire, West Region Director, FINRA Dispute Resolution


Judith Hale Norris, Associate Director, Investor Advocacy Clinic, Pepperdine University Caruso School of Law

This program was presented without charge; materials and continental breakfast included.

*The Investor Advocacy Clinic is made possible by a generous grant from the Financial Industry Regulatory Authority (FINRA) Investor Education Foundation

For more information call Lori Rushford at 310.506.6342 or e-mail lori.rushford@pepperdine.edu.