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?