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Broker-Dealer › Exploitation › Investor Protection

Bressler, Amery & Ross, P.C.

Florida Adopts Additional Protections for Senior Investors in the 2025 Legislative Session

Bressler, Amery & Ross, P.C. on

June is Elder Abuse Awareness Month, a time to raise awareness of the growing trend of financial exploitation, which has become one of the most prevalent forms of abuse targeting the senior population. During the 2025...more

Broker-Dealer Compliance + Regulation

NASAA Adopts Model Act on the Prevention of Financial Exploitation of Vulnerable Adults

Broker-Dealer Compliance + Regulation on

On January 22, 2016, the North American Securities Administrators Association (“NASAA”) adopted a model act, entitled “An Act to Protect Vulnerable Adults from Financial Exploitation.” This act seeks to facilitate...more

Broker-Dealer Compliance + Regulation

FINRA to Propose Action on Exploitation of Elderly Investors

Broker-Dealer Compliance + Regulation on

On September 17, 2015, FINRA announced that it would propose rules to help member firms protect seniors and other vulnerable adults from financial exploitation. The proposal would create a safe harbor enabling broker-dealer...more

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