Senior and Vulnerable Investor Group

Bressler’s Senior and Vulnerable Investor Group combines the talents of more than 25 Attorneys, working from our offices around the country. These lawyers have decades of experience advising and defending broker dealers, investment advisors and insurers who confront problems related to senior and vulnerable investors and insureds. We design training, supervisory and investor education programs to avoid regulatory and litigation risk. We work collaboratively with regulators and state lawmakers with respect to best practices and education initiatives.  Bressler’s 50 State Survey of senior and diminished capacity laws is the industry’s go to resource for information about the law and reporting obligations in the 50 states.  When litigation or regulatory inquiries arise, Bressler vigorously defends the financial services industry against claims of wrongdoing.

Services provided:

  • Prepare firms for “senior readiness” regulatory examinations
  • Assist with open regulatory inquiries and examinations
  • Defend investor claims in arbitration and in court
  • Advise on disbursement and transactional holds and state reporting obligations
  • Review, design and implement senior-focused compliance programs
  • Prepare and conduct training programs
  • Analyze and revise marketing materials directed to seniors
  • Conduct internal investigations and informal reviews