If a broker-dealer or investment adviser reasonably believes that financial exploitation of an eligible adult may have occurred, may have been attempted, or is being attempted, the broker-dealer or investment adviser may notify any reasonably associated individuals. Disclosure may not be made to any third party that is suspected of financial exploitation or other abuse of the eligible adult.
Structure West Virginia Code
Chapter 32. Uniform Securities Act
Article 6. The Protection of Eligible Adults From Financial Exploitation
§32-6-603. Governmental Disclosures
§32-6-604. Immunity for Governmental Disclosures
§32-6-605. Third-Party Disclosures
§32-6-606. Immunity for Third-Party Disclosures
§32-6-607. Delaying Transactions or Disbursements
§32-6-608. Immunity for Delaying Transactions or Disbursements