Seniors | Investment Executive https://www.investmentexecutive.com/tag/seniors/ Canada's news source for financial professionals Thu, 08 Jan 2026 21:28:44 +0000 en-US hourly 1 https://wordpress.org/?v=6.9 https://www.investmentexecutive.com/wp-content/uploads/sites/3/2018/01/cropped-favicon-1-32x32.png Seniors | Investment Executive https://www.investmentexecutive.com/tag/seniors/ 32 32 FINRA seeks ‘speed bumps’ to guard against fraud https://www.investmentexecutive.com/news/finra-seeks-speed-bumps-to-guard-against-fraud/ Thu, 08 Jan 2026 21:28:44 +0000 https://www.investmentexecutive.com/?p=528908 SRO proposes added measures to protect investors from exploitation

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]]> Advisor’s notes inadmissible, court finds https://www.investmentexecutive.com/news/advisors-notes-inadmissible-court-finds/ Tue, 06 Jan 2026 21:12:32 +0000 https://www.investmentexecutive.com/?p=528800 Notes must meet two-part test to count as evidence

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]]> Speeding dispute resolution for older, ill investors https://www.investmentexecutive.com/news/from-the-regulators/speeding-dispute-resolution-for-older-ill-investors/ Tue, 09 Dec 2025 20:28:18 +0000 https://www.investmentexecutive.com/?p=527360 FINRA to accelerate arbitration process for vulnerable clients

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]]> Court orders sanctions in precious metals scheme https://www.investmentexecutive.com/news/court-orders-sanctions-in-precious-metals-scheme/ Fri, 21 Nov 2025 16:17:23 +0000 https://www.investmentexecutive.com/?p=525972 Parallel cases by SEC, CFTC and state regulators result in restitution, penalties

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]]> Double trouble: Twins convicted of defrauding clients https://www.investmentexecutive.com/news/double-trouble-twins-convicted-of-defrauding-clients/ Fri, 14 Nov 2025 21:11:23 +0000 https://www.investmentexecutive.com/?p=525534 Pair stole millions from clients, including vulnerable investors

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]]> Rep fined, banned for stealing from a client https://www.investmentexecutive.com/news/from-the-regulators/rep-fined-banned-for-stealing-from-a-client/ Fri, 20 Jun 2025 15:20:28 +0000 https://www.investmentexecutive.com/?p=513180 Firm repaid almost $600,000 to client for losses, DSC fees, tax, lost gains

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]]> CEO sold fake units in real LPs, SEC alleges https://www.investmentexecutive.com/news/from-the-regulators/ceo-sold-fake-units-in-real-lps-sec-alleges/ Fri, 23 May 2025 17:15:06 +0000 https://www.investmentexecutive.com/?p=510498 Alleged scheme sold US$46 million in phantom interests in genuine vehicles

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]]> Ex-rep admits to misappropriating millions https://www.investmentexecutive.com/news/from-the-regulators/ex-rep-admits-to-misappropriating-millions/ Mon, 07 Apr 2025 21:18:05 +0000 https://www.investmentexecutive.com/?p=506482 Former Assante rep agrees to ban, $2.3 million in sanctions

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]]> FINRA touts success of senior helpline https://www.investmentexecutive.com/news/from-the-regulators/finra-touts-success-of-senior-helpline/ Wed, 02 Apr 2025 13:34:38 +0000 https://www.investmentexecutive.com/?p=506079 Service has helped recover money for investors, generated enforcement referrals

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]]> Younger workers may pay off in the long run: CIBC https://www.investmentexecutive.com/news/research-and-markets/younger-workers-may-payoff-in-the-long-run-cibc/ Thu, 23 Jan 2025 21:31:18 +0000 https://www.investmentexecutive.com/?p=500864 Better integrating immigrants could solve productivity puzzle

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