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Elder Abuse is increasingly becoming an issue that Financial Advisors need to prepare for. As our clients get older, they are more and more vulnerable to a host of abuses that can cause huge losses to assets which can severely hurt a Financial Advisor’s book of business and open up to possible legal trouble. We’ve created a list of the ways Elders can be abused so that you can stay informed and proactive against scams.

You may think New Year’s Resolutions are just flimsy declarations of goals with no follow through, but have you ever thought about setting a New Year’s Resolution around building your business? Starting the year with a specific resolution can be a great way to hit the ground running and measure success.

2016 was a year full of surprises that caused Financial Advisors to feel a wide variety of emotions. To many, the unpredictable nature of 2016 conjured up many negative feelings of fear or dread in regards to the markets and our collective financial future. But as of late it seems the majority of 2016’s fears and downturns are being overcome.

Photo Credit: Lisa Benson, Slate

On December 13th Vanderbilt Chief Compliance Officer, Barry Champney was invited to participate in a Round Table Discussion in New York City around the issue of The DOL Fiduciary Rule. Top CCO’s, CEO’s, Compliance Personnel, and Attorneys who are focusing on the DOL issue were invited to come together for a collaborative discussion to share insights and questions.

Lisa Roth, of Monahan & Roth, LLC has been Vanderbilt’s key compliance consultant for many years and currently serves on several FINRA boards. This October she was the Keynote Speaker at Vanderbilt’s 2016 Annual Sales and Compliance Meeting. Her presentation, “Just the Fact’s Ma’am” focused on the DOL Fiduciary Rule and what it means for Financial Advisors. Here were just some of the highlights of the best rated talk of the day: