Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Elderly Clients (133)
Your search for Elderly Clients returned 133 results.
Sorted by Date

7/19/2019 | Content area: Investment Adviser
Peter de Roetth, with Chris de Roetth’s knowledge, made concentrated efforts to get Ms. Doe to sign an amendment that continued her trust for twenty y...
7/05/2019 | Content area: Investment Adviser
One year after the SEC’s Investor Advocate Rick Fleming stated in his annual report to Congress on his objectives that the Commission’s three fiduciar...
7/02/2019 | Content area: Investment Adviser
Glick and FMS provided clients with false account statements that hid Glick's improper use of client funds to pay personal expenses and his improper t...
6/10/2019 | Content area: Broker-Dealer
The SEC's complaint alleged that Vaccarelli defrauded at least nine investors, several of whom were elderly, of over $1,000,000. Instead of investing ...
5/30/2019 | Content area: Broker-Dealer
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspect...
5/24/2019 | Content area: Broker-Dealer
Lindell obtained unauthorized control over funds designated for the purchases of securities by his client and diverted the funds to his personal use ...
5/23/2019 | Content area: Investment Adviser
Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will ...
5/23/2019 | Content area: Investment Adviser
This Fact Sheet from the SEC, FINRA and NASAA provides general information regarding the Senior Safe Act with the goal of educating financial institut...
5/16/2019 | Content area: Investment Adviser
When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea...
5/09/2019 | Content area: Investment Adviser
If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest sp...
5/03/2019 | Content area: Investment Adviser
From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. G...
4/30/2019 | Content area: Investment Adviser
To create an interdivisional taskforce at the Securities and Exchange Commission for senior investors.
4/15/2019 | Content area: Investment Adviser
This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that OCI...
3/25/2019 | Content area: Investment Adviser
Maxwell, among other things, obtained $170,000 from two of his elderly clients to acquire an unsuitable blockchain investment fund without adequately ...
3/21/2019 | Content area: Investment Adviser
It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm co...
3/08/2019 | Content area: Investment Adviser
At 67 years of age – and after 35 years in the business – John Schmidt is going out of the industry wrapped in infamy.   A federal judge last month or...
3/08/2019 | Content area: Investment Adviser
Schmidt misappropriated over $1.16 million from accounts belonging to seven of his retail brokerage customers and transferred that cash to at least te...
3/01/2019 | Content area: Broker-Dealer
Schmidt sold securities belonging to at least seven of his retail brokerage customers and secretly transferred over $1 million in proceeds to at least...
2/28/2019 | Content area: Investment Adviser
Know that if you have clients between ages 70 and 79, they may be the ones most at risk for elderly financial abuse (IA Watch, Feb. 14, 2019).   This ...
2/14/2019 | Content area: Investment Adviser
Maryland-based adviser Dawn Bennett once paid $1.4 million for a luxury suite at AT&T Stadium, a perch from which she watched the Dallas Cowboys play....


Did you find what you were looking for?



Leave your comments below regarding what you are looking for and someone from our team will reach out to help you.


© 2019 PEI Media LLC. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US