Senior and Vulnerable Investor Issues

Bressler’s Senior and Vulnerable Investor Issues Group combines the talents of more than 30 Attorneys, working from our offices around the country. These lawyers have decades of experience advising and defending investment advisors, insurers, broker dealers, insurance agents and insurance brokers who confront problems from both senior, vulnerable investors and insureds. We design training and supervisory programs to avoid regulatory and litigation risk. When litigation arises, Bressler vigorously defends the broader financial services industry against claims of wrongdoing. 

Services provided:

  • Review, design and implement senior-focused compliance programs
  • Draft written supervisory and compliance procedures
  • Prepare and conduct training programs
  • Analyze and revise marketing materials directed to seniors
  • Address privacy concerns
  • Advise on reporting obligations
  • Conduct internal investigations and informal reviews
  • Prepare firms for anticipated regulatory examinations
  • Assist with open regulatory inquiries and examinations, including market conduct examinations
  • Advise on regulatory filings and disclosure documents
  • Defend investor claims in arbitration and in court
  • Manage responses to regulatory and judicial subpoenas