Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Elderly Clients (125)
Your search for Elderly Clients returned 125 results.
Sorted by Date

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....
2/14/2019 | Content area: Investment Adviser
Call it love late in life. She was in her 60s when she met a man in his 70s. It would become the second marriage for both. They lived together for 15 ...
2/14/2019 | Content area: Investment Adviser
Your aged clients make tempting targets for fraudsters because they’re believed to have money and could be manipulated into giving it away (see relate...
1/31/2019 | Content area: Investment Adviser
The protection of retail investors nationwide—particularly seniors—is a core mission of the SEC. A $1 billion penalty announced Jan. 28 against Woodbr...
1/24/2019 | Content area: Broker-Dealer
FINRA’s recently released 2019 Risk Monitoring and Examination Priorities letter takes a new tact this go round by emphasizing new focus areas not not...
1/10/2019 | Content area: Investment Adviser
Chances are John Maccoll and Steven Pagartanis have never met. But they share much in common. Both are fired broker-dealer reps who for years ran scam...
12/03/2018 | Content area: Broker-Dealer
The Commission’s complaint alleged that between 2008 and March 2018, Respondent Maccoll defrauded at least 15 of his retail brokerage customers out of...
11/29/2018 | Content area: Investment Adviser
Make a note to review the accounts of senior clients every six to 12 months “to see what’s been happening,” recommended Ronald Long, the director of e...
11/14/2018 | Content area: Investment Adviser
SIFMA has produced an example of a form you can give clients to obtain a trusted contact to reach out to in case the need arises. Find more from SIFM...


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 Simplify Compliance. ALL RIGHTS RESERVED | PRIVACY POLICY | TERMS & CONDITIONS | ABOUT US | CONTACT US