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Terpening discusses best practices for protecting your vulnerable investor clients and preventing financial loss and investment fraud.
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Working With Elderly & “Vulnerable” Investors
WRT Background
Defense Perspective
Defense Perspective
Two Central Themes Today
Two Central Themes Today
Protect Yourself
Protect Yourself
Heightened Media Awareness
Bad/ Unregulated/ Untrained Planners “Dilute” “Brand”
“Vulnerable” Victims
Protect your clients.
Case Studies
“Edith Bunker” * *(Victim and Fraudster Names Changed to Protect Anonymity.)
“Edith Bunker” – Classic Client Victim – Bio
Edith Bunker – Financial Picture
Fred Frugal
Fred Frugal
Fred Frugal Has An Investment for Edith!
Edith and Family Become Concerned.
Truth is Revealed to Edith and Family.
What recourse does Edith have? Sadly, often none.
Second (and Last) Hypothetical
United States Sweepstakes Commission
Tuesday Comes
Who is Officer Jones, Really?
“Officer” Jones?
Time to Address? When Edith Starts Mentioning Fred, Needing $ for the Sweepstakes, Etc..
Further Warning Signs…
Further Warning Signs…
Warning Sign Summary
Warning Signs
Precautionary Measures
Frequency of These Cases
They Happen in Charlotte Every Day.
Protect yourself.
We Live in a High- Sensitivity Era.
Wrong Impressions…
Protecting Your Relationships and Your Record
Case Study
Jennifer Wilkov
Jennifer Wilkov
Wilkov Lessons
Avoiding Misimpressions & Creating a Positive Record.
Presentations.
Anderson Terpening PLLC
Questions?
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