Month: January 2018

SEC Suggests Adult Protective Services (APS) Workers to Protect Seniors From Investment Fraud and Victimization

In an investment alert dated May 9, 2017, the SEC Office of Investor Education and Advocacy suggested steps for Adult Protective Services (APS) workers and others on how to assist and prevent senior victimization of investment fraud. The investment alert particularizes a checklist of tell-tale signs of possible fraud, (such as high pressure sales tactics, guaranteed […]

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Brokerage Firms Abandon Small IRA Account Customers With the Emergence of the Fiduciary Rule – An Accident Waiting To Happen?

The recently enacted Fiduciary Rule requires that brokerage firms managing the accounts of IRA customers are required to adhere to a prudent man/prudent investor investing guidelines in order to project IRA accounts from unnecessary losses due to stock market volatility, downturns and risky investments.  These initiatives, in turn, have seen brokerage firms require that all […]

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