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Carter misappropriated over $6 million from customers and clients while he served as their financial advisor, by effecting numerous unauthorized transactions from their accounts
Know that an inherited IRA cannot be rolled over but a spousal one can be
This checklist can serve as a guide when assessing the condition of an elderly client
The fraudster noted that “for a fee” it could “arrange for a reassessment of the property’s value” to lower the homeowner’s taxes
Tips include to take a sampling of senior clients and check to see if reps are putting notes in your CRM to document their most ...
Katie Mogan, a consultant with SEC Compliance Solutions in Boston, shares her template for senior P&Ps
Lisa Marsden, president of Coulter Strategic Services in Coral Springs, Fla., shares her compliance training presentation for seniors and vulnerable investors
The financial professional is advised to 'probe' deeper if the senior answers 'I don’t know'
From 2013 and 2016, while she was associated with the brokerage firm, McKinley stole nearly $300,000 from the accounts of the elderly client
Other examples that examiners will look for include C-level support for a robust compliance program; a lack of double standard treatment for C-level staff and ...

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