2023 Senior Investor Protection Conference: The Latest Trends, Scams and Schemes
FINRA Unscripted
English - April 18, 2023 10:30 - 26 minutes - 24.5 MB - ★★★★★ - 45 ratingsGovernment Business finra compliance regulation regulator financial services stocks bonds stock broker brokerage firm investing Homepage Download Apple Podcasts Google Podcasts Overcast Castro Pocket Casts RSS feed
In March, FINRA hosted the Senior Investor Protection Conference, a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and other vulnerable investors from exploitation.
On this episode, we're taking an abridged look at one of the conference sessions on the various trends, scams and schemes currently impacting investors. Brooks Brown, Senior Director of FINRA's High-Risk Representative Unit, moderates the conversation with Amy Nofziger, Director of Victim Support for the AARP’s Fraud Watch Network, Mayur Patel, Senior Principal Intelligence Specialist with FINRA's Financial Intelligence Unit, and Elizabeth Yoka, a Manager with FINRA's Vulnerable Adults and Seniors team.
Resources mentioned in this episode:
FINRA Key Topic Page: Senior Investors
Reg Notice 22-25: Heightened Threat of Fraud in Small Cap IPOs