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Protecting Seniors and Other Vulnerable Investors: Developments in the Law and Regulatory Initiatives


Level: Advanced
Runtime: 61 minutes
Recorded Date: March 10, 2020
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Agenda

  • Senior and Vulnerable Investor Financial Exploitation
  • Law, Rules and Regulations Impacting Senior and Vulnerable Investors
  • Best Practices and Practical Tips
Runtime: 1 hour, 1 minutes
Recorded: March 10, 2020

Description

The panel will analyze recent developments in the law and state regulations governing the handling of accounts held by seniors and vulnerable investors as well as the challenges faced by securities firms in minimizing the exploitation of senior investors and clients with diminished capacity. The panel will also discuss the latest regulatory initiatives to provide protection to senior clients in the security industry and latest trends in report and hold laws in state legislatures.

This program was recorded on March 10th, 2020.

Provided By

American Bar Association

Panelists

Richard Szuch

Enforcement Chief
New Jersey Bureau of Securities

Richard Szuch currently serves as the Enforcement Chief for the New Jersey Bureau of Securities. His enforcement team will triage firms’ financial exploitation reports when New Jersey’s report and hold law goes live in April 2020. Prior to his work as a regulator, he spent more than 25 years defending some of the industry’s largest banks, broker dealers and investment advisers. In 2017, he formed Bressler Amery and Ross’s Senior and Vulnerable Investor Group.

Melissa J. Acayan

Director and Senior Compliance Counsel
Raymond James Financial

Melissa Acayan is Director and Senior Compliance Counsel for Raymond James’ Senior & At-Risk Clients Team. In this role, she is tasked with providing legal advice to both home office and branch personnel, reviewing and acting upon legal issues and ensuring the firm and advisors are in compliance with applicable regulatory and legislative changes. Additionally, Melissa investigates possible financial exploitation, provides counsel on capacity issues and presents on these topics on a regular basis.

Lawrence E. Fenster

Principal
Bressler, Amery & Ross, P.C.

Lawrence Fenster is a principal in the firm’s Financial Institutions practice group. For more than three decades, clients have relied on Larry’s skills in securities litigation, securities and commercial arbitrations — both domestic and international — and regulatory matters at the state and federal levels. He has represented hundreds of clients in securities fraud class action suits, securities arbitrations, internal fraud investigations, and complex commercial litigation at the trial and appellate levels.

Larry’s depth of knowledge and experience amply prepares his clients to successfully defend cases involving the most complex issues. Larry’s experience is both broad and deep, and has included the defense of claims relating to: Securities fraud, Consumer fraud, Structured products, Auction rate securities, Leveraged municipal bond funds, Options ,Leveraged ETFs, Employee stock option plans, PIPE transactions, Annuities, Real estate limited partnerships and Complex derivatives.

Clients seek Larry’s insight and talent for offering clear analyses of complex legal issues. His innovative thinking produces tangible results for securities and corporate firms, financial institutions, and their officers and directors.

Larry is a member of Bressler's Senior and Vulnerable Investor Group. The lawyers in this group have a shared interest in providing counsel to corporate clients who confront issues affecting seniors. He is also the Co-chair of the ABA Section of Litigation Subcommittee on Seniors and Vulnerable Investors.

Larry writes prolifically and publishes often in the area of securities litigation and arbitration. He has been featured in a variety of publications, including the New York Law Journal, the Broker-Dealer Dispute Report, Securities & Commodities Regulation, Securities News, Securities Law360 and the ABA Securities Litigation Journal. He speaks frequently about securities law issues before professional organizations. He has been a featured speaker at the ABA Annual Meeting, before the ABA Securities Litigation Committee, as well as for the National Institute of Arbitration, among many others.

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