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Elderly Clients (119)
Your search for Elderly Clients returned 119 results.
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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...
11/14/2018 | Content area: Investment Adviser
Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts had lost substant...
10/30/2018 | Content area: Broker-Dealer
Kelly used his companies, Lion's Share Financial of East Cobb, Inc., Lion's Share & Associates, Inc., and Lionsshare Tax Services, LLC, to raise at l...
10/18/2018 | Content area: Investment Adviser
A focus on cryptocurrency offerings has been a major driver in pushing state enforcement actions against unregistered firms and individuals to new hei...
9/25/2018 | Content area: Broker-Dealer
Schmidt, who was associated with an SEC-registered broker dealer, sold securities of at least seven of his customers and secretly transferred over $1 ...
9/24/2018 | Content area: Broker-Dealer
She made material misrepresentations about the investment stating that the investment was without risk, was completely liquid, and featured a guarante...
9/18/2018 | Content area: Broker-Dealer
Ernest J. Romer, III persuaded at least 30 of his customers, many of whom invested most of their life savings with Romer, to sell securities in their ...


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