Financial Abuse of Seniors

  • 03 Oct 2018
  • 12:00 PM - 2:00 PM
  • Latitude 41, 105 Greenmanville Ave, Mystic, CT 06355

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Wednesday, October 3, 2018

12:00pm - 2:00pm

Plated Lunch Included!   
 

Guest / Non-Member Fee: $45; Council Members are Free


Matthew L. Mercer, Esq., will discuss 

Financial Industry Regulatory Authority.....Rule 2165; Effective February 8, 2018

  
  • The Rule allows Securities Firm to pay closer attention to their most vulnerable clients; the elderly, to prevent financial exploitation;  
  • Temporary Hold on Securities transactions to prevent Financial exploitation that the Firm believes has occurred, is occurring, or has been attempted;
  • Definition of Financial Exploitation;
  • Epidemic of Financial Exploitation of the Elderly and other Specified Adults;  and
  • The interplay between FINRA Rule 4512 and FINRA Rule 2165

Venue: Latitude 41, 105 Greenmanville Ave, Mystic, CT 06355

       

Click below for the speakers' bio:

 

Matthew L. Mercer, Esq.
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