Senior and Vulnerable Investor Issues

Bressler’s Senior Issues Group combines the talents of 30 Attorneys, from the firm’s securities and insurance practice groups, working from our offices around the country. These lawyers have a shared interest in providing counsel to corporate clients who confront issues affecting seniors and vulnerable adults. We design programs to help our clients prevent and detect the exploitation of vulnerable investors and avoid regulatory and litigation risk.  When litigation arises, Bressler vigorously defends the financial services industry against claims of wrong doing. 

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
  • Advise on regulatory filings
  • Defend investor claims in arbitration and in court
  • Manage responses to regulatory and judicial subpoenas

In addition, Bressler’s Senior Issues Group includes attorneys from the firm’s estate planning and administration practice group. These attorneys provide critical counsel on many issues affecting seniors and those advising seniors, including identifying appropriate estate and tax planning strategies for seniors of varying wealth levels, strategies to address a client’s potential or current incapacity. For the senior clients, the attorneys in Bressler’s estate planning and administration practice group are focused on assisting clients in the implementation of appropriate estate and tax planning strategies, including:

  • The preparation of wills and trusts
  • General powers of attorney, and health care powers of attorney and living wills
  • Assistance probating wills and administering estates and trusts
  • Counseling clients on charitable planning and family philanthropy