william carrigan

adjunct faculty

About

Certified Fraud Examiner with many years of experience conducting examinations, investigations and prosecutions of highly complex financial frauds, involving millions of dollars. Responsible for uncovering and shutting down a $28M ponzi scheme and also had a lead role in bringing to light the largest ponzi scheme in Vermont history of over $250M. Have worked in conjunction with local and federal law enforcement agencies relating to securities fraud and Ponzi schemes. Experienced in the Reid Technique of Interviewing and Interrogation. Conduct seminars throughout the state on investment scams and frauds to Senior centers and civic organizations. Specialties: securities compliance, securities fraud, interviewing and conducting examinations under oath, conducting complex examinations and investigations of firms and individuals.

Country

united states

City

south burlington

Industry

government administration

Skill

fraud, certified fraud examiner, private investigations, securities, forensic analysis, investigation, public speaking, risk assessment, securities regulation, internal investigations, policy, criminal justice, finra, investments, law enforcement, fraud investigations, fraud detection, interviews, series 7, surveillance, litigation support, police, computer forensics, enforcement, interviewing, public policy, securities fraud, reid method of interviewing and interrogation, seminar speaker, conference speaking, training and development

Experience

securities examiner

vermont department of financial regulation securities division

2007-10 - 2014-6 · 6 yrs 9 mos

deputy commissioner

vermont department of financial regulation securities division

2016-7 - Present · 10 yrs 3 mos

* The Securities Division administers Vermont’s “Blue Sky Laws” contained in the Vermont Uniform Securities Act (9 VSA Chapter 150) (the “Securities Act”). The Securities Act charges the Securities Division with a twofold mission of (1) protecting the Vermont investing public from fraud * and (2) promoting the development of Vermont’s capital markets. The Securities Division carries out this twofold mission by: * Reviewing and registering securities offered to Vermont investors and where appropriate granting registration exceptions to facilitate capital formation * Registering Broker-Dealers, Investment Advisors, and their agents and representatives * Conducting regular financial examinations on investment professionals * Responding to investor complaints and investigating potential violations of the securities laws * Bringing administrative or civil actions against violators of the securities laws * Educating Vermont investors, industry participants and businesses about securities laws * and * Updating securities regulations to keep pace with evolutions in the industry.

director of examinations and enforcement

vermont department of financial regulation securities division

2014-6 - 2016-7 · 2 yrs 2 mos

Develop, implement and oversee the Division's examination program. Oversee the Division's investigation efforts including conducting investigations and supervising staff engaged in investigative functions. Assist the Department's Office of General Counsel with the prosecution and negotiation of settlement regarding enforcement actions for violations of laws, rules and regulations. Assist with the development and implementation of Division rules, regulations, bulletins, and policies pertaining to the examination, enforcement and/or investigation of broker-dealers, investment advisors and securities issuers.