Seniors

Do you have written supervisory procedures for IRA rollovers? If not, you aren’t alone. One in five advisors and broker-dealers recently examined by the SEC ...

Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts had suffered extensive losses. ...

To provide immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens, and for other purposes.

According to the SEC's complaint, from approximately March through July 2014, Calleja, through his Miami-based company Tower Trade Group USA LLC, solicited and received investment ...

When it comes to protecting senior investors, the biggest firms have luxuries smaller firms cannot afford: a compliance department with a specialist or two strictly ...

You’ve got a lot to worry about when it comes to staying alert to potential exploitation of your senior clients. Don’t overlook filing a Suspicious ...

Your peers had scores of questions for regulators and experts at the recent SIFMA/FINRA senior investor protection conference. Here are some highlights of the tips ...

Regulators are constantly beating the drum about the need for documentation, whether to support your investment recommendations or detail how you are keeping up with ...

A proposed rule change aimed at providing broker-dealers with a way to quickly respond to situations in which they have a “reasonable basis” to believe ...

The Commission’s complaint alleged that, primarily targeting elderly annuity holders, Snisky using his Longmont, Colorado-based investment entity, Arete, LLC, conducted an offering fraud scheme that fraudulently ...