Content Areas

Search Terms

Category

 See More >

Date Range

From:
To:

Topics

Clear
Elderly Clients (109)
Your search for Elderly Clients returned 109 results.
Sorted by Date

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 ...
8/09/2018 | Content area: Investment Adviser
Even before a new law granted immunity to advisers who undergo training to spot financial exploitation of the elderly (IA Watch, May 24, 2018), Nathan...
8/09/2018 | Content area: Broker-Dealer
Maccoll told his customers that the purported fund investment would allow them to diversify their portfolios, receive annual investment returns as hi...
7/23/2018 | Content area: Investment Adviser
A peer shares a form the adviser developed to help reps acquire information necessary should an elderly client's cognitive state decline. You're cauti...
7/12/2018 | Content area: Investment Adviser
Here are 11 questions found within an OCIE document request letter sent to an advisory firm that specifically asks about how the firm handles its seni...
6/28/2018 | Content area: Investment Adviser
You hear it so often it could be a commercial’s refrain: “culture of compliance.” But what exactly does that phrase mean?   Steve Levine, associate re...
6/26/2018 | Content area: Investment Adviser
This document request letter, sent to an advisory firm, asks about senior clients.
6/08/2018 | Content area: Investment Adviser
First FINRA created the ability of a broker to stop a money transfer if it suspects senior fraud (BD Watch, Jan. 4, 2018). Now the SEC’s Division of I...
6/04/2018 | Content area: Investment Adviser
Endres placed a number of her clients, some of whom were elderly, into an unsuitable, highly speculative investment strategy based on the short-term t...
6/01/2018 | Content area: Investment Adviser
You represent that financial exploitation of seniors and other vulnerable adults is a serious problem, with substantial amounts lost annually to senio...
5/24/2018 | Content area: Investment Adviser
President Trump has sign S. 2155 into law. The bi-partisan financial reform legislation cleared Congress this week. It allows hedge and private equity...


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