Seniors

FINRA will make the treatment of seniors and other vulnerable investors a top priority this year. In its new 2016 Regulatory and Examination Priorities letter ...

In April 2015, FINRA launched the Securities Helpline for Seniors

Industry groups, regulators, and consumer organizations generally support a FINRA proposal (IA Watch, Oct. 22, 2015) to help firms address suspected exploitation of elderly clients ...

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23425 / December 11, 2015 Securities and Exchange Commission v. Robert Seibert, a.k.a. John Grey, Civil Action ...

Collins, a resident of Wichita Falls, TX, orchestrated a scheme targeting elderly investors through his unincorporated retirement planning business, Collins Insurance Companies a/k/a BMC Retirement ...

You have until the end of November to weigh in on FINRA’s proposed rule focused on protecting seniors and other vulnerable adults from financial exploitation. ...

He fraudulently solicited $1,443,749 in purported investments from three elderly customers by advising each customer to liquidate existing annuities or other investments and to entrust ...

Court Finds James Quay in Criminal Contempt for Failing to Pay Disgorgement and Penalties

Expect to soon be asked for your comments on a new rule proposal from FINRA focused on protecting seniors and adults with mental or physical ...

Regulators have made it clear they want brokers and advisers to do a better job for senior investors. And they are taking action against those ...