Tagged with "elder abuse"

Elder Abuse Listed as One of FINRA’s Top Claim Types

Posted on November 12th, 2018 at 2:42 PM
Elder Abuse Listed as One of FINRA’s Top Claim Types

As the baby boomer generation continues to age, FINRA has reported that it has seen a surge in the number of financial exploitation claims filed by senior citizens.

Read More »

FINRA Looks to Firms to Curb Elder Abuse

Posted on November 6th, 2016 at 3:00 PM
FINRA Looks to Firms to Curb Elder Abuse

As the population continues to age, FINRA has proposed new regulations that would expand wealth management firms' responsibilities as well as their scope of action with regard to the financial abuse of the elderly. 

Read More »

TESTIMONIALS

Previous
Next

Thank you so very much for your guidance, patience, and expertise.

Beth and Steve K.

LATEST NEWS AND ARTICLES

April 22, 2024
FINRA Fines Independent Broker-Dealers Over Cybersecurity Lapses

The Financial Industry Regulatory Authority (FINRA) has imposed fines and censured independent broker-dealers Osaic Wealth and Securities America for cybersecurity deficiencies that led to hackers accessing the private information of more than 32,000 customers.

April 19, 2024
WealthFeed Raises Funds for AI-Driven Lead Generation Tool

WealthFeed leverages proprietary AI technology to collect nine real-time financial data points, including business sales, capital raises, inheritances, and job changes.

April 18, 2024
SEC Fines Target Off-Channel Communications

The Securities and Exchange Commission (SEC) is ramping up its enforcement efforts targeting off-channel communications, particularly text messages, among investment advisory firms.