Senior Investors
Tag Archive

• Protecting Your Parents from “Sharks”

  August 29, 2011 Comments (0) Blog, Securities Fraud

  A recent Money Magazine article featured on CNN.com does an excellent job in offering advice on how to protect senior parents from being taken advantage of by a financial advisor or investment fraud. Unscrupulous financial advisors often take advantage of retired investors and it can result in a comfortable retirement

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• Compliance, Supervisory and other practices used by financial services firms in serving senior investors to avoid securities fraud.

  September 11, 2009 Comments (0) Blog, Securities Fraud

  Realizing that senior investors comprise a significant portion of those individuals investing in the markets today, the Securities Exchange Commission (SEC), the Financial Industry Regulatory Authority (FINRA), and the North American Securities Administrators Association (NASAA) view the protection of senior investors

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