Jack E. Herstein

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  NASAA to Advisors: Help Seniors Avoid Investment Traps

  By Harry Lew  |  September 12, 2012

  The investment marketplace remains a dangerous place for unwary seniors and their advisors.

• Crowd-funded Investments: Are they right for seniors?

  By National Ethics Association  |  August 1, 2012

  Seniors are being squeezed by declining investment income and rising costs. They’re also more Internet savvy, but susceptible to cognitive deficits. Add the prospect of investing in start-ups over the Internet with limited regulation, and what have you got? A potential nightmare for them, their families and you.

• Red Flag Reminder

  By National Ethics Association  |  June 1, 2012

  The low down on investment advisor state registration

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  The Low-Down on Investment Advisor State Registration

  By Harry Lew  |  April 5, 2012

  The North American Securities Administrators Association (NASAA) has launched an online resource to help investment advisors switch from federal to state regulation.

• State Regulators Settle With Bankers Life

  By Marlene Y. Satter, AdvisorOne  |  April 5, 2012

  State securities regulators have reached a settlement with Bankers Life and Casualty Company of Illinois, after a task force found that the firm was acting as an unlicensed broker-dealer and investment advisor.