Seniors

Regulators are constantly beating the drum about the need for documentation, whether to support your investment recommendations or detail how you are keeping up with ...

A proposed rule change aimed at providing broker-dealers with a way to quickly respond to situations in which they have a “reasonable basis” to believe ...

The Commission’s complaint alleged that, primarily targeting elderly annuity holders, Snisky using his Longmont, Colorado-based investment entity, Arete, LLC, conducted an offering fraud scheme that fraudulently ...

Seibert and sales agents for UST cold called vulnerable, elderly investors and encouraged them to purchase a variety of stocks quoted on the “OTC Link,” ...

Regulatory scrutiny and best practices suggest that you should be reviewing your firm’s P&Ps applicable to the issues and challenges that can surface when dealing ...

There is still room for improvement when it comes to best serving senior investors.  That’s the preliminary conclusion drawn from NASAA’s coordinated examinations of some ...

It can be quite uncomfortable after years of working with a client who has aged into dementia to turn to the person’s relative. It can ...

he orchestrated a Ponzi scheme while acting as an unregistered investment adviser and broker. While holding himself out as an investment adviser and broker, Blount solicited ...

Over a hundred opportunities to catch forged annuity withdrawal requests ultimately fell by the wayside for Prudential Annuities Distributors, leading to the theft of $1.3 ...

FINRA fired another shot across the bow in its on-going battle to protect senior investors.   The target this time: pension-income stream products.   The SRO ...