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Oct 2, 2020 by |

California and Marin County Financial Elder Abuse Attorneys: Securities and Exchange Commission Charges Advisor With Financial Elder Abuse


SEC Pursues Elder Abuse Charges Against Advisor

Unauthorized Trades And Falsified Documents

Betraying Trust Of Older Client

The U.S. Securities and Exchange Commission (SEC) polices the financial markets to protect investors from fraud. The SEC’s Retail Strategy Task Force has especially focused on fraud against older investors and prosecuted advisors and brokers for financial elder abuse among other crimes. The Marin County financial elder abuse attorneys at Evans Law Firm, Inc. can represent you if you or a loved one is a victim financial elder abuse here in California at the hands of a financial advisor, insurance agent, caregiver, trustee, stock broker, person acting with a Power of Attorney for you, or any other individuals or businesses. If you or a loved one is a victim of financial elder abuse here in Marin or elsewhere in California, call our lawyers today at (415)441-8669.

The SEC recently announced charges* against a financial advisor alleged to have stolen almost $1.5 million from elderly clients through falsified internal documents, unauthorized trading, wire fraud, and transfers from client accounts into his own personal accounts. The SEC’s complaint alleges that defendant used the funds he misappropriated from his older customers to support his own lavish lifestyle. The SEC’s complaint seeks injunctive relief barring defendant from the securities industry, the return of allegedly ill-gotten gains plus prejudgment interest, and a civil penalty.

Protect Yourself From Financial Elder Abuse

Investors can find additional information about how to protect their investments at The SEC’s Office of Investor Education and Advocacy encourages senior investors to learn more at the senior investor education webpages on and report any suspicious investment-related activity or schemes using the SEC’s online tips, complaints, and referrals (TCR) system. If you or a loved one has been the victim of financial elder abuse or theft by a financial advisor, the elder abuse lawyers at Evans Law Firm can investigate your case and pursue all remedies available under California law, including an award of attorneys’ fees and expenses in certain circumstances.

Contact Us

Ingrid M. Evans and the other California financial elder abuse attorneys at Evans Law Firm represent victims of financial elder abuse by financial advisors, insurance agents, stock brokers, retirement planners, investment promoters, caregivers, trustees, or other person here in Marin County or elsewhere in California contact at (415) 441-8669, or by email at <a href=””></a>. Our attorneys also have experience with complex financial contracts and large insurance companies.

*Evans Law Firm, Inc. is not involved in the case in any way.

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