FINRA & FBI Senior Investor Fraud Prevention Summit Agenda

Join industry practitioners from member firms, regulators and law enforcement for a program focused on protecting senior investors from fraud and scams. Regulatory and law enforcement experts cover emerging trends, red flags, prevention strategies and how to support those who have been victimized. Plus—real-world case studies help you gain practical insights into how to strengthen your firm's defenses and collaborate across the industry to protect investors. 

All times listed are Eastern Time.

12:00 p.m. – 1:00 p.m.

Registration – Beverages/snacks

1:00 p.m. – 1:45 p.m.

The Fraud Landscape: A Regulatory Perspective on Senior Investor Risk

Hear directly from regulatory and law enforcement experts who investigate fraud targeting senior investors. This panel discussion reveals emerging threats, common fraud schemes and red flags regulators are tracking. Learn how agencies collaborate to combat fraud, what compliance practices are most effective, and how your firm can work with regulators and law enforcement to protect customers and prevent schemes before they start.

1:45 p.m. – 1:55 p.m.

Break

1:55 p.m. – 2:45 p.m.

Real Solutions, Real Results: How Firms Protect Senior Investors

Learn from industry peers who are on the front lines of senior investor protection. This session explores effective detection strategies, exception reporting techniques, wire transfer risk management practices and approaches to communicating with customers who might be under the influence of a scammer. Discover practical, proven methods you can implement at your own firm and connect with peers facing similar challenges and opportunities.

2:45 p.m. – 3:00 p.m.

Break

3:00 p.m. – 4:00 p.m.

(In Person Only) Senior Investor Financial Exploitation Case Study Workshop

Financial exploitation of vulnerable adults is an ongoing threat. This hands-on session facilitates active discussions of current elder fraud trends through a series of practical case studies. Learn from FINRA staff and work with industry practitioners to help increase investor protection and enhance your investor protection skillset.

4:00 p.m.

Summit adjourns