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:
To check the background of a financial professional:
– These resources disclose such things as employment history, disciplinary record, and registrations.
Resources Specific to Elder Abuse and Fraud:
The Consumer Financial Protection Bureau (CFPB)
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)
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: firstname.lastname@example.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 informartion on financial fraud with scam alerts and regular tips for consumers of all ages.
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
Dr. Mikol Davis and Carolyn Rosenblatt, co-founders of AgingInvestor.com
Carolyn Rosenblatt, RN, Elder Law Attorney offers a wealth of experience with aging to help you create tools so you can skillfully manage your aging clients. You will understand your rights and theirs so you can stay safe and keep them safe too.
Dr. Mikol Davis, Psychologist, Gerontologist offers depth of knowledge about diminished financial capacity in older adults to help you strategize best practices so you can protect your vulnerable aging clients.
AgingInvestors.com offers accredited cutting edge on-line continuing education courses for financial professionals wanting to expand their expertise in best practices for their aging clients. To learn more about our courses click HERE