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Investor News
- Protecting Your Loved Ones with Dementia from Financial AbusePosted on 2/2/2012
- Life Insurance Investment Scam Targets DeafPosted on 10/7/2011
- Alleged $110 Million Stock Fraud Nets Pepper Pike Man 21 Years in PrisonPosted on 10/3/2011
- Man Accused of Making $17 Million in Real Estate Ponzi SchemePosted on 8/29/2011
Recent Blog Posts 
- Elderly Victim Speaks Out after Alleged Ponzi Scheme2/2/2012
- Bank Owes Financial Fraud Victims after Rothstein Ponzi Scheme1/28/2012
- Connecticut Man Pleads Guilty to 1 point 9 Million Dollar Investment Fraud Scheme1/30/2012
- Operation Broken Trust Leads to 52-Month Sentence for Michigan Woman in One Million dollar Ponzi Scheme Case1/30/2012
- Retired NBA All-Star Loses Nearly $86M in Alleged Investment Fraud1/27/2012
- Illinois Man Sentenced to More Than 5 Years in Prison for $9 Million Dollar Ponzi Scheme1/25/2012
Investment Fraud Cases in the News
What Is Being Done To Protect Senior Investors?
Posted on Aug 24, 2010
A large percentage of the population has reached the “golden years.” However, instead of enjoying their retirement, many have been forced back into the workplace due to dwindling investments. It is estimated that total retirement assets have decreased by approximately 25 percent in the past two years, leaving much of the older population without the money needed to pay their living expenses.
As a result, the Securities and Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA) and the North American Securities Administrators Association (NASAA) have made concerted efforts to protect senior investors. In 2008, securities regulators released a public report entitled Protecting Senior Investors: Compliance, Supervisory and Other Practices Used by Financial Services Firms in Serving Senior Investors. The report was designed to educate senior investors, as well as assist investment firms in their compliance and other practices. Recently, this report was updated.
Some of the major areas addressed in the addendum include the following:
- Communicating effectively with senior investors
- Training and educating firm employees on senior-specific issues
- Establishing an internal process for escalating issues and taking next steps
- Obtaining information at account opening
- Ensuring appropriateness of investments
- Conducting senior-focused supervision, surveillance and compliance reviews
According to the authors of the report, their hope is that “financial services firms will identify and implement additional practices to help ensure that the financial services industry continues to be mindful of the particular needs of senior investors.”
For more information regarding the risks that senior investors face, view our video, Security Fraud Attorney Explains That Senior Citizens Are The Number One Target of Investment Fraud.
Read More About What Is Being Done To Protect Senior Investors?...
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