Seniors

Ask questions in the beginning of a relationship. In the case of a husband and wife: Do you have a power-of-attorney for each other? Do ...

Calleja also failed to disclose to investors that on September 5, 2012, he had been permanently barred by FINRA from association with any FINRA member ...

The SEC alleges that Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts ...

Do you have written supervisory procedures for IRA rollovers? If not, you aren’t alone. One in five advisors and broker-dealers recently examined by the SEC ...

Cody defrauded at least three of his retired clients over a twelve-year period by concealing the fact that their retirement accounts had suffered extensive losses. ...

To provide immunity from suit for certain individuals who disclose potential examples of financial exploitation of senior citizens, and for other purposes.

According to the SEC's complaint, from approximately March through July 2014, Calleja, through his Miami-based company Tower Trade Group USA LLC, solicited and received investment ...

When it comes to protecting senior investors, the biggest firms have luxuries smaller firms cannot afford: a compliance department with a specialist or two strictly ...

You’ve got a lot to worry about when it comes to staying alert to potential exploitation of your senior clients. Don’t overlook filing a Suspicious ...

Your peers had scores of questions for regulators and experts at the recent SIFMA/FINRA senior investor protection conference. Here are some highlights of the tips ...