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North American Securities Administration Association (NASAA)

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud

Study by Regulators Confirms That Elderly Are Most Vulnerable to Financial Abuse/Fraud 150 150 Rex Securities Law

August 2017 The North American Securities Administrators Association (NASAA) recently released a study showing that financial fraud on the elderly has increased, despite increased awareness and regulatory attempts to protect…

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Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments

Update March 2016: SEC Alert Warning Investors to Be Wary of Oil & Gas Investments 150 150 Rex Securities Law

 MARCH 2016-After the dramatic collapse of oil prices in the past year, it is apparent that a 2013 SEC investor alert, which we discussed nearly three years ago, was something investor would…

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Maine Securities Regulator to Testify to Congress About Financial Exploitation of Senior Citizens

Maine Securities Regulator to Testify to Congress About Financial Exploitation of Senior Citizens 150 150 Rex Securities Law

February 3, 2015-Augusta, Maine Judith Shaw, administrator of Maine’s Office of Securities, is scheduled to testify before the U.S. Senate Special Committee on Aging according to the Portland Press Herald.…

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South Florida is “Hot Spot” For Troubled Stock Brokers-Wall Street Journal

South Florida is “Hot Spot” For Troubled Stock Brokers-Wall Street Journal 150 150 Rex Securities Law

November 12, 2014– According to a story published in The Wall Street Journal (WSJ) today, South Floridians, especially elderly & wealthy retirees,  have plenty to worry about when it comes…

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NASAA Advisory Council on Senior Issues/Diminished Capacity Appointed

NASAA Advisory Council on Senior Issues/Diminished Capacity Appointed 150 150 Rex Securities Law

The North American Securities Administrators Association (NASAA) announced on September 16, 2014 formation of an advisory council to help inform the recently formed Committee of Senior Issues and Diminished Capacity.…

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SEC Issues Investor Bulletin:How to Check Out Your Financial Professional

SEC Issues Investor Bulletin:How to Check Out Your Financial Professional 150 150 Rex Securities Law

The Securities & Exchange Commission’s  (SEC) Office of Investor Education and Advocacy issues alerts and bulletins from time to time designed to offer resources to address problems investors may face. Here…

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NASAA to Focus on Investor Abuse Involving Seniors

NASAA to Focus on Investor Abuse Involving Seniors 150 150 Rex Securities Law

Washington, DC The North American Securities Administrators Association (NASAA) recently announced formation of a committee  to protect senior investors from financial exploitation.  According to NASAA, 34% of enforcement actions  taken…

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