News & Analysis as of

Elder Abuse Regulatory Requirements

Eversheds Sutherland (US) LLP

FINRA signals heightened focus on senior investor protection

On July 15, FINRA’s Investor page featured an article titled “Protecting Older Investors From Financial Exploitation,” signaling a renewed and strengthened focus on safeguarding senior investors—an issue FINRA has long...more

GeoDataVision

Elder Financial Exploitation

GeoDataVision on

Len and Dean discuss recent regulatory guidance on elder financial exploitation, emphasizing the need for financial institutions to balance intervention and senior autonomy through effective policies, AI-driven fraud...more

Faegre Drinker Biddle & Reath LLP

Things I Worry About (10): FINRA Enforcement and Senior Investors (2)

Key Takeaways - FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues related to retirees and senior investors. - The Report provides guidance to...more

Allen Matkins

California May Soon Require Companies To Submit Elder Abuse Prevention Plans

Allen Matkins on

California legislators are introducing the first bills in the current biennium.  One of these bills, AB 83 (Pacheco), would add an entirely new division to the California Financial Code.  This new division would consist of a...more

Patrick Malone & Associates P.C. | DC Injury...

Grim way to increase nursing home profit: Toss out frail seniors and disabled

Profit-hungry nursing home operators persist in throwing out vulnerable seniors and disabled patients from needed care, too often because the facilities find they can get higher-paying patients to fill their already costly...more

Carlton Fields

Two New FINRA Rules For The Protection Of Senior Investors

Carlton Fields on

The protection of senior investors continues to be a priority for FINRA, from both an examination and enforcement perspective. In fact, FINRA detailed how seniors are one of its major areas of concern in the last three...more

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