U.S. Securities and Exchange Commission building in Washington, D.C. (Photo: Mike Scarcella/ALM)
The financial exploitation of seniors is an unfortunate trend in the securities industry that has been exacerbated by the COVID-19 pandemic. Fortunately, securities regulators and Congress have recognized the severity of this trend and taken steps to not only protect the senior citizen population, but also to provide tools to broker-dealers to protect them from liability and guide their conduct when investigating potential financial exploitation of seniors
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