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Financial Decision Making and Retirement Security in an Aging World$
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Olivia S. Mitchell, P. Brett Hammond, and Stephen P. Utkus

Print publication date: 2017

Print ISBN-13: 9780198808039

Published to Oxford Scholarship Online: November 2017

DOI: 10.1093/oso/9780198808039.001.0001

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PRINTED FROM OXFORD SCHOLARSHIP ONLINE (oxford.universitypressscholarship.com). (c) Copyright Oxford University Press, 2020. All Rights Reserved. An individual user may print out a PDF of a single chapter of a monograph in OSO for personal use. date: 04 December 2020

Understanding and Combating Investment Fraud

Understanding and Combating Investment Fraud

(p.185) Chapter 10 Understanding and Combating Investment Fraud
Financial Decision Making and Retirement Security in an Aging World

Christine N. Kieffer

Gary R. Mottola

Oxford University Press

Investment fraud is a significant problem in America. Many Baby Boomers are entering retirement with significant assets, and enforcement actions by financial regulators indicate that investors can be vulnerable to fraud at key ‘wealth events’ in their lives, such as when they face a decision about what to do with money arising from the sale of a house, an inheritance, or an IRA rollover. Protecting these assets—for Baby Boomers and younger generations who face key wealth events—will be important to ensure the financial well-being and retirement security of millions of Americans. This chapter reviews the prevalence and impact of financial and investment fraud, explores the value of using demographic characteristics, psychographic characteristics, and the number of times an individual is targeted for fraud to predict investment fraud victimization, explains how fraudsters use social influence tactics to defraud their victims, and describes current investor protection efforts.

Keywords:   investment fraud, financial fraud, social influence, demographics and fraud, psychographics and fraud, investment fraud solicitations, fraud targeting, fraud victimization rates, investor protection

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