The Securities Litigation Expert Blog

Jack Duval Publishes Protecting Senior Investors White Paper

Posted by Jack Duval

Mar 22, 2017 9:25:08 AM

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

Protecting Senior Investors - Image_Page_01.jpgThis 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.


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Topics: fraud, supervision, Protecting Senior Investors, Elder Abuse, FINRA Rules

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