Seniors

Seibert and sales agents for UST cold called vulnerable, elderly investors and encouraged them to purchase a variety of stocks quoted on the “OTC Link,” ...

Regulatory scrutiny and best practices suggest that you should be reviewing your firm’s P&Ps applicable to the issues and challenges that can surface when dealing ...

There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated examinations of some ...

It can be quite uncomfortable after years of working with a client who has aged into dementia to turn to the person’s relative. It can ...

he orchestrated a Ponzi scheme while acting as an unregistered investment adviser and broker. While holding himself out as an investment adviser and broker, Blount solicited ...

Over a hundred opportunities to catch forged annuity withdrawal requests ultimately fell by the wayside for Prudential Annuities Distributors, leading to the theft of $1.3 ...

FINRA fired another shot across the bow in its on-going battle to protect senior investors.   The target this time: pension-income stream products.   The SRO ...

While holding himself out as an investment adviser and broker, Blount solicited investors and offered at least 72 investors the opportunity to invest in certain ...

Quay used an alias, "Stephen Jameson," to conceal his true identity from potential victims. Quay was previously convicted of tax fraud in 2005 and found ...

NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...