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Older investors' complaints deserve -- and receive -- special scrutiny from regulators

Examiners give seniors the benefit of the doubt in a complaint, making it imperative to keep meticulous records focusing on not just the 'what' but the 'why' of investment decisions

Tuesday, July 17, 2012 – 3:53 PM by Guest Columnist Les Abromovitz
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Les Abromovitz: Policies and procedures can protect elderly clients who exhibit signs of a cognitive impairment.

Mentioned in this article:

NCS Regulatory Compliance
Consulting Firm
Top Executive: Mark Alcaide, COO/Partner




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