Tag Archives: Vulnerable

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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Are Directors Vulnerable for Lack of Oversight When a Natural Disaster Strikes?

Edward M. McNally This article was originally published in the Delaware Business Court Insider | April 06, 2011 The recent events in Japan prompt the question of whether the members of a corporation's board of directors have any exposure to … Continue reading

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