(L-R)Samuel E. Cohen and Ryan P. Friel of Marshall Dennehey Warner Coleman & Goggin. Courtesy photos FINRA, the SEC and Congress Aim to Safeguard Senior Investors
The financial exploitation of seniors is an unfortunate trend in the securities industry that has been exacerbated by the COVID-19 pandemic.
May 12, 2022 at 12:52 PM
6 minute read
The financial exploitation of seniors is an unfortunate trend in the securities industry that has been exacerbated by the COVID-19 pandemic. Fortunately, securities regulators and Congress have recognized the severity of this trend and taken steps to not only protect the senior citizen population, but also to provide tools to broker-dealers to protect them from liability and guide their conduct when investigating potential financial exploitation of seniors
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