Fighting Financial Exploitation: FINRA’s Vulnerable Adults and Seniors Team
On this episode, we hear from members of both the Vulnerable Adults and Seniors Intake and Investigations teams to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
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Show Notes
Senior investor protection has long been a priority for FINRA, and the Vulnerable Adults and Seniors Team (VAST) is at the forefront of FINRA's efforts in this space.
On this episode, we hear from Brooke Hickman, Director of the Vulnerable Adults and Seniors Investigative Team, Mike Paskin, a manager with VAST Investigations, and Liz Yoka, a manager of the VAST Intake team, to hear how the groups work with individual investors, firms, states and other regulators to prevent and detect financial exploitation of senior and other vulnerable investors.
Resources mentioned in this episode:
2024 Annual Regulatory Oversight Report
Episode 72: Anti-Money Laundering and Elder Exploitation
Episode 128: The 2023 Senior Investor Protection Conference
Episode 105: The Essential Senior Investor Protection Tools: FINRA Rules 2165 and 4512
FINRA Securities Helpline for Seniors – 844-57-HELPS (844-574-3577)
FINRA Key Topic Page: Senior Investors
FAQ Regarding FINRA’s Rules Relating to Financial Exploitation of Seniors
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