Law Commons^™

Information-Dissemination Law: The Regulation Of How Market-Moving Information Is Revealed, Kevin S. Haeberle, M. Todd Henderson

Faculty Publications

No abstract provided.

A 360 Degree View Of Roles And Responsibilities Concerning Diminished Capacity: Financial Advisers’ Obligations To Clients, Lawyers Representing Clients, And Lawyers Preparing Their Practices, Elissa Germaine, Nicole G. Iannarone, Teresa Verges

Faculty Publications

(Excerpt)

Aging is inevitable and impacts everyone. The risk of a person developing cognitive impairment or some other incapacity affecting daily life increases with each passing year. While some will live long lives without suffering from cognitive decline, others will not be so fortunate. One thing is clear: seniors have the greatest risk of developing some form of impairment that will impact their ability to make their own decisions and that will put them at risk of fraud by predators or of harm by well-intentioned but ill-informed persons seeking to help them. As lawyers representing clients in FINRA proceedings, PIABA …

Lawyers’ Obligations When Representing Clients With Diminished Capacity, Elissa Germaine

Faculty Publications

(Excerpt)

Lawyers have a significant role to play in protecting clients with diminished capacity from financial exploitation. PIABA members, in particular, see the issue from a unique vantage point – usually after a person with diminished capacity (or a family member or concerned third party) notices a drop in value in his or her brokerage account and approaches the lawyer to help figure out what happened in the account and, if appropriate, to pursue a claim to recover damages. As such, members must understand their own obligations as lawyers to clients with diminished capacity, obligations that apply in the context …