Articles Posted in Seniors

New FINRA/SEC Report: Sales Practices Targeted at Seniors
Samuels Yoelin Kantor LLP

As part of the “National Senior Investor Initiative”, in 2013 FINRA and the SEC conducted 44 examinations of brokerage firms that focused on how firms conduct business with senior investors (defined as age 65 and older) as they prepare for and enter retirement.  A newly issued report gives the results. The exams found that among…

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