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Elderly Clients (139)
Your search for Elderly Clients returned 139 results.
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9/03/2019 | Content area: Investment Adviser
It was alleged that between 2013 and 2016 while she was associated with the brokerage firm McKinley stole nearly $300,000 from the accounts of the eld...
8/15/2019 | Content area: Broker-Dealer
There’s no mistaking that the protection of senior investors remains a top priority for FINRA. At the start of the year, the SRO flagged the protectio...
8/15/2019 | Content area: Investment Adviser
A Massachusetts investment adviser should have to return nearly more than $275,000 he took from elder friends and clients in what amounted to “an elab...
7/25/2019 | Content area: Investment Adviser
Peter de Roetth opened Account Management ($135M in AUM) in Boston in 1963. One of his earliest clients was a woman who stuck with him for decades. In...
7/25/2019 | Content area: Broker-Dealer
It’s not news that getting a client to loan you money or becoming a beneficiary of his or her estate is almost always a sure route to trouble. But, ev...
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.
4/29/2019 | Content area: Investment Adviser
xaminers have frequently observed deficiencies with respect to the custody rule, and in 2017, OCIE issued a Risk Alert identifying some of the typical...
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 ...


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