When somebody calls in to the
Securities Helpline for Seniors,
they will speak with one of our
knowledgeable staff members.
about concerns they might have
in their investment account or
with their brokerage
statements, and
the staff
is able to assist
them with their
concerns.
And that staff member will ask
a lot of questions about what
the caller's concerns are.
From that point, they'll either
point them to
specific resources or
answer their question.
In other instances,
they'll discuss 
the matter
with management.
and we'll reach out to the
member firm to see
we can help resolve the issue.
And thirdly, we
could look at it
from a more
investigative
standpoint and
conduct a further
investigation if there 
is potential violation
of FINRA's 
rules that we enforce.
