11-19-20
Exploitation of Senior and Vulnerable Investors in the COVID-19 Era and Regulatory Responses
Recorded: Thursday, November 19, 2020
The COVID-19 pandemic has brought with it an increase in scams directed at seniors and other vulnerable investors. Regulators, as well as securities firms, have had to intensify their efforts to create and implement better protections for these investors. This panel will ask experts, state and federal regulators and counsel to address the latest developments in this area.
- Joseph Thomas, Director and Expert, Bates Group
- Richard Szuch, Enforcement Division Chief, New Jersey Bureau of Securities
- Amy Bard, Esq., Senior Issues Expert, Bates Group
- Marin E Gibson, Managing Director and Associate General Counsel, SIFMA
- Lawrence E. Fenster, Principal, Bressler, Amery & Ross, PC
- Erin Linehan, Associate General Counsel, Compliance, Raymond James Financial Services, Inc.