Seniors

National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus ...

The oldest baby-boomers are approaching 70 years old. The chances you’ll find yourself working with a customer with impaired cognitive functions grow greater every day. ...

CFTC Charges Florida-based Forex Monthly Income Fund, LLC and its Principals Jean Chauvel, Renaud Pierre-Charles, and Employee and Agent Robert Tripode with Forex Pool Fraud ...

There's no mistaking the message from recent actions: regulators are laser-focused on the protection of senior investors. The recent announcement of a broker-dealer sweep, an ...

A 95-year-old woman who "has been the victim of scams" perpetrated by callers from Africa and South America claiming she has won a prize but ...

If all of a sudden an elderly client ends his long-standing relationship with your firm, the termination could be a tell-tale sign of trouble. FinCEN ...

More eyes will soon be trained on how your firm deals with elderly investors as a result of a multi-state effort to prevent financial abuse ...

What a stunning statistic: Over the next 20 years, 10,000 Americans will turn 60 years old every 24 hours.Tod Sawicki, a partner with Alston Bird ...

Our story last week on best practices when dealing with elderly investors (IA Watch, Aug. 16, 2010) just so happened to coincide with the SEC's ...

Firms with longstanding clients can witness all of the stages of life, including aging clients who begin to decline physically and mentally. Our fast-growing elderly ...