Seniors

Come July, Richard Cody will report to federal prison to begin serving a two-year sentence for investment adviser fraud. But his elderly victims will never ...

This Fact Sheet from the SEC, FINRA and NASAA provides general information regarding the Senior Safe Act with the goal of educating financial institutions and ...

When a client asked Michael Giokas if he could record their phone conversation, the owner/CCO of Giokas Wealth Advisors in Clarence, N.Y., had no idea ...

If you’re having difficulty making the case for sufficient resources for your firm’s compliance program, you may want to consider laying the latest speech from ...

From approximately 2009 through March 2011, Gierten misappropriated a total of $39,000 from one of his clients, who was an elderly military veteran. Gierten did ...

To create an interdivisional taskforce at the Securities and Exchange Commission for senior investors.

This OCIE exam letter features questions aimed at how the adviser handles its senior clients. It also showcases an example of a trade blotter that ...

Maxwell, among other things, obtained $170,000 from two of his elderly clients to acquire an unsuitable blockchain investment fund without adequately disclosing the nature and ...

It can be difficult to determine when an aging client is slipping into dementia and advisers can feel pressured that unnecessarily raising an alarm could ...

At 67 years of age – and after 35 years in the business – John Schmidt is going out of the industry wrapped in infamy. ...