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Investors › Elder Abuse › Broker-Dealer

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

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

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

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