News & Analysis as of

Investors › Elder Abuse

Morrison & Foerster LLP

Top 5 SEC Enforcement Developments for June 2025

Morrison & Foerster LLP on

Each month, we publish a roundup of the most important SEC enforcement developments for busy in-house lawyers and compliance professionals. This month, we examine the following matters: • An SEC settlement with an ex-CEO...more

Eversheds Sutherland (US) LLP

FINRA signals heightened focus on senior investor protection

Eversheds Sutherland (US) LLP on

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

Katten Muchin Rosenman LLP

Broker-Dealer Liability Risks in Elder Financial Exploitation Cases

Katten Muchin Rosenman LLP on

Despite limited regulatory requirements to intervene, broker-dealers face exposure to discipline and liability claims when elderly clients fall victim to financial exploitation. In an environment of increased financial...more

Faegre Drinker Biddle & Reath LLP

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

Faegre Drinker Biddle & Reath LLP on

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

K2 Integrity

As Cryptocurrency Becomes More Mainstream, Payment Scam Risks Increase

K2 Integrity on

Payment scams exploiting the lure of cryptocurrency are a growing concern for individuals and businesses—losses from crypto scams increased from $907 million in 2021 to $2.57 billion in 2022. These scams typically involve...more

Faegre Drinker Biddle & Reath LLP

Having a Senior Moment: Recent Legislation and Rules to Protect Seniors from Financial Exploitation

Faegre Drinker Biddle & Reath LLP on

In recent years there has been a spate of legislation and rules passed to protect senior investors. Similarly, observers of FINRA’s and the SEC’s annual priorities will, of course, have noticed both bodies’ inclusion of elder...more

Rumberger | Kirk

Legally Qualified: Protecting Against Elder Investment Fraud and Exploitation

Rumberger | Kirk on

How can we protect seniors who may be vulnerable to financial abuse or scams? RumbergerKirk's latest Legally Qualified podcast answers this question and more. RumbergerKirk attorneys Pete Tepley and Rebecca Beers talk with...more

Bass, Berry & Sims PLC

Privacy Perils: Elder Abuse Awareness Day

Bass, Berry & Sims PLC on

With older adults increasingly targeted by financial scammers, Governor Bill Lee has proclaimed Saturday, June 15, 2019, as Elder Abuse Awareness Day in Tennessee to warn seniors and their families and help them avoid falling...more

Stinson LLP

SEC Approves New Rules Enabling Financial Advisors to Defend Vulnerable Clients from Exploitation

Stinson LLP on

Financial exploitation of aging and mentally diminished investors by family members and third parties is on the rise. With America's senior population growing rapidly, this problem may only get worse. More than half of all...more

9 Results
 / 
View per page
Page: of 1

"My best business intelligence, in one easy email…"

Your first step to building a free, personalized, morning email brief covering pertinent authors and topics on JD Supra:
Sign up Log in
*By using the service, you signify your acceptance of JD Supra's Privacy Policy.
- hide
- hide