Senior Issues

November 16, 2018: A Question of Privilege: The Still Unsettled Law Surrounding FINRA's Form U5 Uniform Termination Notice, American Bar Association
Beth Howland

October 30, 2018:
Joel Everest Authors Law360 Article, "What FINRA Stats Tell Us About Elder Abuse Claims," Law360
Joel M. Everest

October 26, 2018:
What Every Broker-Dealer Needs to Know about Protecting Vulnerable Investors from Financial Exploitation, American Bar Association
Heather Murphy

October 17, 2018: 
Protecting Vulnerable Investors from Financial Exploitation: What Every Broker-Dealer Needs to Know, Bressler Client Alert
Heather Murphy

October 16, 2018:
NJ Bureau of Securities Issues Notice of Pre-Proposal on Uniform Fiduciary Standard for All NJ Investment Professionals, Bressler Client Alert
David Libowsky and Daniel Strashun

October 11, 2018: 
NJ Bureau of Securities to Propose a Regulation Establishing a Uniform Fiduciary Standard for All NJ Investment Professionals, Bressler Client Alert
David Libowsky and Daniel Strashun

September 21, 2018: 
State Activity in the Wake of The DOL Fiduciary Rule, Bressler Client Alert
Cynthia Borrelli

August 22, 2018: 
Law Blog: Investor Protection Requirements for Seniors and Vulnerable Adults, Business Alabama
Sarah Yates

August 20, 2018: 
Texas Securities Commissioner Takes First Action Under New Law Regarding Financial Exploitation of Vulnerable Adults, Bressler Client Alert
Joelle Simms

July 27, 2018: 
Efforts to Protect Seniors and Other Vulnerable Adults from Financial Exploitation, The Alabama Lawyer
Joshua Jones and Preston Martin

June 11, 2018: 
The Senior Safe Act Becomes Law, Bressler Client Alert
Amy Bard

June 8, 2018: 
How Firms Should Respond To The Aging Financial Advisor Workforce, Financial Advisor
Joshua Jones and Matthew Penfield

May 17, 2018:
FINRA Issues Its First Progress Report On FINRA360, Bressler Client Alert
David Buffa and Gerard Belfort

May 2, 2018: 
NY DFS Amends its Proposed Life Insurance and Annuity Suitability Regulation to Require Best Interest Standard, Bressler Client Alert
Cynthia Borrelli

April 16, 2018:
 
Aging Investor Base and Wealthy Baby Boomers Spur Increase in State Laws to Protect Seniors, Bressler Client Alert
Alex Sabo  

April 3, 2018: Hold On! Analyzing FINRA's New Rules to Address Senior Financial Exploitation, Bloomberg BNA
Amy Bard, Daniel Strashun and Andrew Mount

March 12, 2018: The FTC Releases the 2017 Consumer Sentinel Network Data Book, Bressler Client Alert
Matthew Plant 

January 19, 2018:
 NAIC Sets 2018 Agenda to Address Senior Issues, Bressler Client Alert
Cynthia Borrelli and Michael Morris

January 5, 2018: New York DFS Proposes Amendments to its Annuity Suitability Rule, Bressler Client Alert
Cynthia Borrelli

December 11, 2017: The Senate Banking Committee Revised S.2155 to Project Seniors from Financial Fraud, Bressler Client Alert
Benjamin Akselrad

November 14, 2017: Enforcement Priorities and Dealing With An Aging Investor Base - Bressler and NJSBA Securities Law Program Summary, Bressler Client Alert
Richard Szuch

November 6, 2017:
 Protecting Your Senior Clients: Compliance in Advance of the February 5 FINRA Deadline... and Beyond,
Bloomberg Law
Patricia Solfaro

October 23, 2017: The Elder Abuse Prevention and Prosecution Act Becomes Law, Bressler Client Alert
Benjamin Akselrad

October 12, 2017: What Is Being Done To Help Avoid Financial Exploitation Of Seniors?, Financial Advisor
Richard Szuch

September 29, 2017:
 New York and New Jersey Market Regulation Directed to Seniors, Bressler Client Alert
Cynthia Borrelli and Ardinez Domgjoni
 
August 17, 2017: 4 Financial Resources for Senior Investors, Bressler Client Alert

April 20, 2017: Two-Year Anniversary of FINRA Securities Helpline for Seniors, Bressler Client Alert

April 10, 2017: FINRA’s National Adjudicatory Council Announces New Sanction Guidelines, Bressler Client Alert

March 30, 2017: FINRA Receives SEC Approval on Rules Regarding Financial Exploitation of Seniors, Bressler Client Alert

August 1, 2009: Seniors – The Laws, The Rules, The Cases, Practical Compliance & Risk Management for the Securities Industry
Richard Szuch and Brian Ellis

January 31, 2009: What’s So Special About Seniors Anyway?, Practical Compliance & Risk Management for the Securities Industry
Richard Szuch, Jean Setzfand, Ann Parry, and Jennifer Woods Burke

September 1, 2007: When the Baby Boom Era Becomes the Retirement Explosion, The National Society of Compliance Professionals
Richard Szuch, Theodore J. Sawicki, Scott N. Sherman and Alex Reed