The Securities and Exchange Commission announced July 10 the agenda for its premiere Seniors Summit on July 17 at SEC headquarters in Washington, D.C. The Commission also said it will release at the Summit an NASD Investor Education Foundation study on why the elderly are victimized by fraud. Among those testifying at the summit will be Patricia Struck, the president of NASAA, the state securities regulators assocation; NASD Vice Chairman Mary Schapiro; Linda Thomsen and Lori Richards of the SEC; and officials from the AARP and academia. A live audio and video Webcast of the Summit will be available at www.sec.gov.
The bank was charged with fraud and misleading investors about its cross-selling results from 2002 to 2016.
The broker was terminated for alleged personal trading and related conduct involving a penny stock.
A survey from Nationwide teases out how these generations are different from each other and from older investors.
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