transcript   Transcript

Senior Investors: Litigation Trends and Regulatory Update

Recorded on: Aug. 16, 2017
Running Time: 01:02:20

Full Transcript:

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Taken from the briefing Senior Investors: Litigation Trends and Regulatory Update recorded August 2017 in New York.

This Briefing will provide a roadmap of common plaintiffs' arguments and defendants' rebuttal arguments in actions filed by or on behalf of elder investors. Elizabeth M. Del Cid and Sharon A. O’Shaughnessy of Murphy & McGonigle will discuss recent rules and notices published by the regulators on senior investors, the standards of proof for financial elder abuse that arise in these cases in major jurisdictions (NY, CA, FL, VA, and NC), and the potential civil and criminal penalties that may be imposed.

Lecture Topics  [01:02:20]

The panelists will also:

  • Review case law
  • Evaluate FINRA awards on the subject
  • Address FINRA Regulatory Notice 17-11 (including adoption of new FINRA Rule 2165 and amendments to FINRA Rule 4512)

Presentation Material

  • Senior Investors: Litigation Trends and Regulatory Update
    Elizabeth M. Del Cid, Sharon A. O'Shaughnessy
Elizabeth Del Cid ~ Murphy & McGonigle
Sharon O'Shaughnessy ~ Murphy & McGonigle
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