By Bruce A. Katzen Recently, I handled a very interesting FINRA arbitration dealing with exploitation of the elderly by a joint tenant – in this case, her granddaughter. What made this case so interesting is that we were able to use the elder abuse statute to support our claim.  Traditionally, …

By Bruce A. Katzen On July 9, the Financial Industry Regulatory Authority (FINRA) announced that two new rules have gone into effect – Rule 2090 – the so-called “Know Your Customer” rule and Rule 2111, the “suitability” rule.  Rule 2090 heightens the requirement for financial advisors to know the “essential facts” …