The Securities Litigation Expert Blog

I am pleased to announce the publishing of a new white paper entitled: Protecting Senior Investors.

This paper gives an overview of the problem of dementia in the U.S, a basic understanding of what dementia is and how regluators, particularly FINRA, have addressed it.

Paper sections include:

• Background;
• Regulatory, Law Enforcement and Government Response;
• Defining a "Senior Investor";
• Who Perpetrates Financial Fraud on Senior Investors?;
• Knowing Your Customer, and Dementia;
• Definitions of Dementia;
• Testing for Dementia;
• FINRA Rule 4512 - Customer Account Information;
• FINRA Rule 2165 - Financial Exploitation of Specified Adults;
• Supervision;
• Red Flags, and;
• Best Practices

Click to Download Protecting Senior Investors White Paper

To learn more about author Jack Duval, click here.