Seniors

Investment advisers and broker-dealers should take extra steps to make sure they’re validating investors’ identities and the authenticity of disbursement instructions, have “a trusted contact ...

Other fraudster techniques deployed by Carter that you could add to your surveillance toolkit include confirming the identifies of account beneficiaries

A slew of circumstances can bring on diminished capacity. The report speaks of accidents and injuries, drug abuse and medications. But aging tops the list

Hopkins began approaching his brokerage customers about a new investment opportunity at the local credit union involving the opening of a new branch office. This ...

There’s an expectation among regulators that you should know the signs of dementia in your clients

New Jersey regulators will examine investment advisers on how well they’re protecting elder clients from fraud, state Attorney General Gurbir Grewal says. The Garden State’s ...

The SEC has filed a lawsuit against a long-time broker-dealer, alleging that he pilfered nearly $1 million from elder clients—one of them a World War ...

Senior investor issues have been a FINRA exam priority in every one of the SRO’s annual priorities letters since 2014. Its Risk Monitoring and Examination ...

Moloney’s case shows once again how seriously the SRO takes suitability cases involving senior investors

Sherlock Holmes famously solved a case by listening for a dog that didn’t bark. Since the early days of the coronavirus crisis, a deafening silence ...