{"id":661,"date":"2017-06-07T16:21:45","date_gmt":"2017-06-07T16:21:45","guid":{"rendered":"http:\/\/localhost\/?p=661"},"modified":"2017-06-07T16:21:45","modified_gmt":"2017-06-07T16:21:45","slug":"sleuthing-through-state-elder-financial-exploitation-laws-a-morass-for-broker-dealers","status":"publish","type":"post","link":"https:\/\/bdia.pli.edu\/index.php\/2017\/06\/07\/sleuthing-through-state-elder-financial-exploitation-laws-a-morass-for-broker-dealers\/","title":{"rendered":"Sleuthing Through State Elder Financial Exploitation Laws\u2014 A Morass for Broker-Dealers"},"content":{"rendered":"<p>The issues for broker-dealers are complicated because a good deal of research (or sleuthing) needs to be undertaken to grasp the breadth of potential liability a broker-dealer may face for <em>not<\/em> reacting to an indication of senior exploitation among the broker-dealer\u2019s client base. This is an area where red flags mean everything and consistency in the law is a goal still to be achieved. In short, each state endeavors to protect its elderly and vulnerable populations from financial exploitation in its own unique way. A broker-dealer cannot wait until a particular case of potential financial exploitation presents itself; the complexity of determining the broker-dealer\u2019s obligations under state law, if not researched in advance, could cause a broker-dealer to unwittingly expose itself to civil and\/or criminal liability.<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/NewsCommentary\/Legal-Alerts\/200845\/Legal-Alert-Sleuthing-Through-State-Elder-Financial-Exploitation-LawsA-Morass-for-Broker-Dealers?utm_source=vuture&amp;utm_medium=email&amp;utm_campaign=vuture-emails\">Read More Here<\/a><\/p>\n<p>Additional contributors to this post:<\/p>\n<p><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Holly-H-Smith\">Holly H. Smith<\/a>, \u00a0<a>hollysmith@eversheds-sutherland.com<\/a><\/p>\n<div class=\"lawyerVCard\"><a href=\"https:\/\/us.eversheds-sutherland.com\/People\/Sarah-Razaq-Sallis\">Sarah Razaq Sallis<\/a>,\u00a0<a>sarahsallis@eversheds-sutherland.com<\/a><\/p>\n<div class=\"lawyerVCard\"><\/div>\n<\/div>\n","protected":false},"excerpt":{"rendered":"<p>The issues for broker-dealers are complicated because a good deal of research (or sleuthing) needs to be undertaken to grasp the breadth of potential liability a broker-dealer may face for not reacting to an indication of senior exploitation among the broker-dealer\u2019s client base. This is an area where red flags mean everything and consistency in &hellip; <a href=\"https:\/\/bdia.pli.edu\/index.php\/2017\/06\/07\/sleuthing-through-state-elder-financial-exploitation-laws-a-morass-for-broker-dealers\/\" class=\"more-link\">Continue reading <span class=\"screen-reader-text\">Sleuthing Through State Elder Financial Exploitation Laws\u2014 A Morass for Broker-Dealers<\/span> <span class=\"meta-nav\">&rarr;<\/span><\/a><\/p>\n","protected":false},"author":57,"featured_media":0,"comment_status":"open","ping_status":"open","sticky":false,"template":"","format":"standard","meta":{"_exactmetrics_skip_tracking":false,"_exactmetrics_sitenote_active":false,"_exactmetrics_sitenote_note":"","_exactmetrics_sitenote_category":0,"footnotes":""},"categories":[23,21,22],"tags":[],"class_list":["post-661","post","type-post","status-publish","format-standard","hentry","category-compliance","category-regulatory","category-standard-of-care"],"aioseo_notices":[],"post_mailing_queue_ids":[],"_links":{"self":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/661","targetHints":{"allow":["GET"]}}],"collection":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts"}],"about":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/types\/post"}],"author":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/users\/57"}],"replies":[{"embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/comments?post=661"}],"version-history":[{"count":0,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/posts\/661\/revisions"}],"wp:attachment":[{"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/media?parent=661"}],"wp:term":[{"taxonomy":"category","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/categories?post=661"},{"taxonomy":"post_tag","embeddable":true,"href":"https:\/\/bdia.pli.edu\/index.php\/wp-json\/wp\/v2\/tags?post=661"}],"curies":[{"name":"wp","href":"https:\/\/api.w.org\/{rel}","templated":true}]}}