A former broker whose 13-year career was littered with stints at firms that were kicked out of the securities industry was sentenced last week to seven years in prison for a $2.4 million South Florida tech scheme that targeted the ...

Bipartisan Senate legislation to combat senior financial exploitation gives backers hope the measure could be approved by Congress this year. The Empowering States to Protect Seniors from Bad Actors Act would provide $10 million in grants annually to state regulators ...

A New Jersey financial adviser who last week was barred from the securities industry and last year was charged with attempted theft of the elderly says he plans to contest those allegations. The adviser, Jeffrey Dampf, was barred from the ...

Most investment advisers lack internal systems to respond to the financial exploitation of elderly clients, according to a survey by state regulators. An exam sweep conducted earlier this year by the North American Securities Administrators Association shows that 58.5% of ...