Tag Archives: exploitation

Elder Abuse, Neglect, and Exploitation, Part Three: What Can You Do?

This is the third article in a three-part series discussing Elder Abuse, Neglect and Exploitation. In Part One, we discussed the definitions for elder abuse and the prevalence of it in our society. In Part Two, we discussed what to … Continue reading

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SEC No-Action Letter Addresses Financial Exploitation of Clients

On June 1, 2018, the Securities and Exchange Commission’s Division of Investment Management issued a No-Action Letter to the Investment Company Institute.  The ICI asked the Division to assure that it would not recommend enforcement against a mutual fund or … Continue reading

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Article on Financial Exploitation of the Elderly: An Overview of Regulatory Action

Christine Lazaro recently published an Article entitled, Financial Exploitation of the Elderly: An Overview of Regulatory Action, Elder Law Studies eJournal (2018). Provided below is an abstract of the Article. Financial exploitation of the elderly is a significant problem. In… … Continue reading

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"Missing" MSC Crew Member: A Victim of Exploitation?

A MSC crew member who stayed in Grand Cayman last month, when her cruise ship left port, was sentenced to three months in prison for illegally remaining on the island.  As we previously reported, 34 year old Yusmaidys Ortiz Perez, … Continue reading

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Understand Basics of New FINRA Rules to Prevent Financial Exploitation of Vulnerable Loved Ones

By Stacy Sadove, Esq., Littman Krooks LLP In a positive development for seniors and individuals with disabilities, the U.S. Securities and Exchange Commission (“SEC”) has just approved the adoption of the Financial Industry Regulatory Authority, Inc. (“FINRA”) Rule 2165 (Financial … Continue reading

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