Resources
Investor Complaint Form
You may use this form to send your complaint to the SEC.
With at least a third of its members’ enforcement actions involving senior investors, NASAA developed this website to provide resources for senior investors, family caregivers, the securities industry, and policymakers. Senior financial exploitation causes the loss of millions of dollars each year.
How to find a certified financial planner professional in your area:
www.LetsMakeaPlan.org
To check the background of a financial professional:
– These resources disclose such things as employment history, disciplinary record, and registrations.
www.CFP.net/verify
www.finra.org/brokercheck
www.adviserinfo.sec.gov
Resources Specific to Elder Abuse and Fraud:
The Consumer Financial Protection Bureau (CFPB)
www.consumerfinance.gov
Email: info@consumerfinance.gov
Phone: 1-855-411-2372
The CFPB’s Office of Financial Protection for Older Americans offers seniors and their families information and tools to safely manage financial challenges.
The National Center on Elder Abuse (NCEA)
www.ncea.aoa.gov
Email: ncea-info@aoa.hhs.gov
Phone: 1-855-500-3537 (ELDR) The NCEA’s website contains information on all aspects of elder abuse, including financial exploitation. Visitors can search for local law enforcement and protection agencies as well as other relevant resources on a state-by-state basis. The NCEA also provides telephone numbers for reporting elder abuse for each state.
The National Committee for the Prevention of Elder Abuse www.preventelderabuse.org Email: info@preventelderabuse.org Phone: 646-462-3603
The National Committee for the Prevention of Elder Abuse provides information related to elder abuse, including a designated section to help victims and those vulnerable to elder abuse. The Committee’s website contains information on what to do if individuals feel a loved one is being abused, provides services available to stop abuse, and offers resources in the community.
The National Consumers League’s Fraud Information Center www.fraud.org Phone: 202-835-3323
The National Consumers League’s Fraud Information Center allows individuals to submit an online complaint if they feel they have been a victim of possible fraud. The League’s website includes information on common Internet and telemarketing fraud schemes and a specific section on “Fraud Against Older Adults” with tips for prevention.
National Adult Protective Services Administrators (NAPSA) www.apsnetwork.org The NAPSA strives to improve the quality and availability of services for disabled and at-risk adults and elderly people who are abused, neglected, or exploited and other vulnerable adults who are unable to protect their own interests. NAPSA’s website provides contract information for each state’s elder abuse centers.
AARP www.aarp.org/money/scams-fraud AARP’s website includes helpful information on financial fraud with scam alerts and regular tips for consumers of all ages.
Online Safety for Seniors: A Comprehensive Guide to Keeping Seniors Safe Online
https://cyberinsureone.com/onl
FTC New Program on Financial Scams Targeting Seniors
FINRA Securities Helpline for Seniors
Additional Resources:
Your Guide to Long-Term Care Planning
What you need to know about long-term care insurance
Children Could Be Required To Pay for Their Parents’ Long Term Care?
Mistakes to Avoid When Shopping for Long-Term-Care Insurance
Options for Covering Long-Term-Care Costs
Updated Kiplinger LTC workbook
Don’t Wait to Plan Long-Term Care
Four Quick Tips on LTC Planning
Valuable Lessons on Long Term Care Planning
A 3-Step Guide to Smarter Long-Term Care Planning
Fresh Perspectives on LTC Planning
National Center on Elder Abuse
National Association of Professional Geriatric Care Managers
Case Management Society of America
North American Securities Administrators Association
Eye On Elder and Special Needs Issues
National Adult Protective Services Association
Declining Financial Capacity in Mild Cognitive Impairment
Senior Investor Resource Center
Welcome to NASAA’s Senior Investor Resource Center
Resources for Seniors
- NASAA / AARP Free Lunch Monitor Program
NASAA is working with AARP to ensure that senior investors are not being pressured into purchasing fraudulent or unsuitable investments at free lunch seminars. - Misleading Senior Designations
Seniors should carefully check the credentials of individuals holding themselves out as “senior specialists.” - 10 Tips to Protect Your Nest Egg
Ten common-sense solutions to avoid investment fraud. - Conversation Starters
A guide to having the money talk with your loved ones. - Elder Investment Fraud and Financial Exploitation (EIFFE) Prevention Program
This NASAA-NAPSA-IPT program educates medical professionals and other caregivers about how to identify seniors who may be vulnerable to financial abuse. - Seniors Summit
Senior Summits allow state securities regulators the opportunity to come together with the SEC and FINRA to coordinate joint enforcement and education efforts to protect senior investors from investment fraud. - I N V E S T i g a t e Before You Invest
A quick reference checklist to help investors ask the right questions before making an investment. - Senior Investor News & Alerts
- Top 10 Investor Traps
- Investment Fraud Awareness Quiz
Take our 12-question quiz and learn what you can do to avoid becoming a victim of investment fraud. - Investor Education Library
A variety of investor education publications and brochures. - Additional Resources for Seniors
NASAA members and other consumer education organizations offer excellent resources to help seniors better understand their investments. - Get Help from Your State or Provincial Securities Regulator
- Excellent website on Elder Financial Fraud https://themoneypig.com/elder-fraud-prevention/