Elder fraud

Experts stress that advisers are on the frontlines in detecting when senior clients suffer from diminished capacity or fall victim to abuse.

On the heels of a record-breaking year in enforcement, the regulator takes aim at cybersecurity, anti-money laundering policies and protection for senior clients.

A roundup of planners and brokers who drew regulatory scrutiny for alleged misconduct.

Firms will be permitted to place a temporary hold on disbursements of funds when there is reasonable belief of financial exploitation.

A Senate bill would provide liability protections for advisers who report suspected abuse of senior clients.

Advisers have been warned: SEC's exam guidance to focus on cyber threats and issues involving seniors, leaving little excuse for noncompliance.

A planner tells compliance expert Alan J. Foxman that he's concerned a court-appointed guardian is not acting in an aging client's best interests.

The regulator proposes new rules to protect aging clients.

The former RIA and fund adviser was cited for multiple fiduciary violations in a day-trading scheme, pocketing profitable trades from a pooled account while burdening clients with the losses.