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Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...
Results positive from FINRA review of firms' senior investor protection programs
The helpline has aided in the return of $7 million to senior investors
A peer shares a document to help you assess the health of your senior clients
This comes courtesy of Sandy Adams, CFP and a partner with the Center for Financial Planning in Southfield, Mich.
Geiger shares a list of red flags for financial professionals to look out for with their aging clients
Look out for traps in nursing home contracts
FINRA was lauded for its effort to protect vulnerable adults
Matthes stole $2.4 million from 26 of his customers and clients
The SEC has filed civil fraud charges against a pair of New England men and the private fund they ran—a fund that Massachusetts regulators say ...
Some of his widowed victims came to him through an elder care placement center owned by his wife
The defendants’ conduct involved fraud, deceit, or deliberate or reckless disregard of regulatory requirements
OCIE "searches for signs of fraudulent schemes perpetrated through brokerage and advisory accounts"
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 ...
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 ...
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 ...
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 fiduciary duty ...
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 transfers ...
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 the customers' funds ...
Financial regulators are actively encouraging investment advisers and broker-dealers to train their employees on how best to detect and report suspected senior financial exploitation. On ...
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