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Investor Complaint Form

You may use this form to send your complaint to the SEC.

sosWith 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)
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)
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                                                                                                                                                                                                                                                                                           Email:                                                                                                                                                                   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                                                                                                                                                                                                                                                                                                            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)                                                                                                                                                                                                                                                                                                            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                                                                                                                                                                                                                                                                                                                                                                         AARP’s website includes helpful informartion on financial fraud with scam alerts and regular tips for consumers of all ages.

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

The Most Asked Questions about LTC Planning  

A 3-Step Guide to Smarter Long-Term Care Planning

Fresh Perspectives on LTC Planning

National Center on Elder Abuse

United Way

National Association of Professional Geriatric Care Managers

Case Management Society of America

North American Securities Administrators Association

Investor Protection Trust

Eye On Elder and Special Needs Issues

National Adult Protective Services Association

The MiniCog

Declining Financial Capacity in Mild Cognitive Impairment

Senior Investor Resource Center

Welcome to NASAA’s Senior Investor Resource Center

Resources for Seniors


Dr. Mikol Davis and Carolyn Rosenblatt, co-founders of

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. 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

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