Seniors

Court Finds James Quay in Criminal Contempt for Failing to Pay Disgorgement and Penalties

Expect to soon be asked for your comments on a new rule proposal from FINRA focused on protecting seniors and adults with mental or physical ...

Regulators have made it clear they want brokers and advisers to do a better job for senior investors. And they are taking action against those ...

National exam staff intends to focus on certain registered investment advisers and broker-dealers that provide services or sell investment products to retail investors. Examination focus ...

The oldest baby-boomers are approaching 70 years old. The chances you’ll find yourself working with a customer with impaired cognitive functions grow greater every day. ...

CFTC Charges Florida-based Forex Monthly Income Fund, LLC and its Principals Jean Chauvel, Renaud Pierre-Charles, and Employee and Agent Robert Tripode with Forex Pool Fraud ...

There's no mistaking the message from recent actions: regulators are laser-focused on the protection of senior investors. The recent announcement of a broker-dealer sweep, an ...

A 95-year-old woman who "has been the victim of scams" perpetrated by callers from Africa and South America claiming she has won a prize but ...

If all of a sudden an elderly client ends his long-standing relationship with your firm, the termination could be a tell-tale sign of trouble. FinCEN ...

More eyes will soon be trained on how your firm deals with elderly investors as a result of a multi-state effort to prevent financial abuse ...