Speaking Engagement

The growing demographic of senior investors, along with new FINRA rules and state and federal legislation designed to curb exploitation of the elderly, highlight the importance of financial firms having sound business practices and policies when dealing with senior or vulnerable investors in Texas and throughout our nation.

In September 2018, Joelle Simms toured four central Texas branch offices of a client’s to speak with its financial advisors, client associates, and branch management about current FINRA Rules and federal and state legislation on this topic. She also discussed red flags and best practices in dealing with senior and vulnerable investors.

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