Seniors

While holding himself out as an investment adviser and broker, Blount solicited investors and offered at least 72 investors the opportunity to invest in certain ...

Quay used an alias, "Stephen Jameson," to conceal his true identity from potential victims. Quay was previously convicted of tax fraud in 2005 and found ...

NASAA members adopted Feb. 1 a model act designed to protect seniors and vulnerable adults from financial exploitation. The three-page model—which is now available for ...

FINRA will make the treatment of seniors and other vulnerable investors a top priority this year. In its new 2016 Regulatory and Examination Priorities letter ...

In April 2015, FINRA launched the Securities Helpline for Seniors

Industry groups, regulators, and consumer organizations generally support a FINRA proposal (IA Watch, Oct. 22, 2015) to help firms address suspected exploitation of elderly clients ...

U.S. SECURITIES AND EXCHANGE COMMISSION Litigation Release No. 23425 / December 11, 2015 Securities and Exchange Commission v. Robert Seibert, a.k.a. John Grey, Civil Action ...

Collins, a resident of Wichita Falls, TX, orchestrated a scheme targeting elderly investors through his unincorporated retirement planning business, Collins Insurance Companies a/k/a BMC Retirement ...

You have until the end of November to weigh in on FINRA’s proposed rule focused on protecting seniors and other vulnerable adults from financial exploitation. ...

He fraudulently solicited $1,443,749 in purported investments from three elderly customers by advising each customer to liquidate existing annuities or other investments and to entrust ...