Video: How can investors review the background of a stockbroker or investment adviser?

How can investors review the background of a stockbroker or investment adviser? Also available at KansasCityLaw.tv and The Kueser Law Firm’s website. In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers, financial advisors, and Registered Investment Advisers (RIAs). Background information related to stockbrokers and financial advisors can be obtained […]

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Video: What are the typical causes of action in securities law cases?

Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses typical causes of action in securities cases. These typical actions are: (1) fraud, (2) securities fraud, (3) breach of fiduciary duty, (4) breach of contract, (5) violation of state securities laws, (6) violation of federal securities laws, and (7) negligence. This video is provided […]

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What is Investment Fraud

Also available at KansasCityLaw.tv This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any legal topic, you should consult with an attorney and should not rely solely upon information provided via the internet. All content provided on this […]

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Video: How can investors review the background of a stockbroker or investment adviser?

How can investors review the background of a stockbroker or investment adviser? Also available at KansasCityLaw.tv and The Kueser Law Firm’s website. In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers, financial advisors, and Registered Investment Advisers (RIAs). Background information related to stockbrokers and financial advisors can be obtained […]

Share
Full Story »

Video: What are the typical causes of action in securities law cases?

Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses typical causes of action in securities cases. These typical actions are: (1) fraud, (2) securities fraud, (3) breach of fiduciary duty, (4) breach of contract, (5) violation of state securities laws, (6) violation of federal securities laws, and (7) negligence. This video is provided […]

Share
Full Story »

What is Investment Fraud

Also available at KansasCityLaw.tv This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have questions related to any legal topic, you should consult with an attorney and should not rely solely upon information provided via the internet. All content provided on this […]

Share
Full Story »

Video: How do attorneys decide which securities fraud cases to pursue?

How do attorneys decide which securities fraud cases to pursue? Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses factors that securities fraud attorneys often evaluate in determining which cases to pursue. This often includes a number of factors, including (1) individual aspects of the customer and the customer’s situation; (2) the amount […]

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New Leveraged ETFs Hit The Market — Investors Beware

Leveraged ETFs have recently returned to the news as Direxion announced the release of two new funds. As reported on Marketwatch.com, one of these new funds seeks to obtain returns equal to 300% of the two-year Treasury yield, while the other fund seeks to obtain returns equal to 300% of the inverse return of the […]

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Leveraged and Inverse ETFs May Not Be Suitable For All Investors

ProFunds Group, one of the largest issuers of leveraged and inverse ETFs recently issued a warning that some of its leveraged and inverse ETFs may not be suitable for all investors. In the prospectus dated October 1, 2009, the company repeatedly states: The Fund is different from most exchangetraded funds in that it seeks leveraged […]

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Colorado Division of Securities Charges Stifel Nicolaus with Fraudulent Sales of Auction Rate Securities

On October 1, 2009, Colorado Securities Commissioner Fred Joseph announced that the Securities Division had filed a complaint against Stifel, Nicolaus & Company. According to the Division’s news release, the complaint alleges: Stifel Nicolaus falsely represented auction rate securities as liquid, short-term investments to Colorado investors without discussing the risks. These representations gave investors a […]

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JP Morgan Returns More Than $28 Million to Missouri Auction Rate Securities Investors

On September 21, 2009, Missouri Secretary of State Robin Carnahan announced that her office had finalized a consent order with JP Morgan Chase & Co. related to the firm’s marketing and sale of auction rate securities (ARS) to Missouri investors. According to the press release, Missouri investors will receive more than $28 million. In addition, […]

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SEC joins FINRA In Cautioning Investors About Risks of Leveraged ETFs

Earlier this week, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) issued a joint warning cautioning investors on the dangers in investing in leveraged ETFs and inverse ETFs. The two regulators issued the warning because they “believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded […]

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New York Attorney General Sues Charles Schwab Over Auction Rate Securities (ARS) Sales

Yesterday, August 17, 2009, the Attorney General of the state of New York announced that it had filed a lawsuit against Charles Schwab & Co. for its sales of auction rate securities. According to the press release, the Complaint charges Schwab with violations of the Martin Act for: falsely representing auction rate securities as liquid, […]

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RSS News – Securities Fraud

  • Pa. Man Cops To Celator Insider Trading Scheme
    Daniel Perez, 28, of Yardley pled guilty before U.S. District Judge Michael A. Shipp in Trenton federal court to one count of securities fraud stemming from allegations that he traded on information about the former Ewing Township, New Jersey-based biopharmaceuticals company, according to acting ...
  • Medical syringe investment scammer gets 35 years in prison
    One of two men who scammed 17 people into investing millions of dollars into a medical syringe prototype was sentenced Friday to 35 years and eight months in state prison. Matthew Mazur, 53, was convicted last month of 36 counts, including grand theft, securities fraud and theft from an elder.
  • Houston Software Co. CEO Pleads Not Guilty In $32M Fraud
    CEO Pleads Not Guilty In $32M Fraud ... Law360, Houston (December 15, 2017, 8:03 PM EST) -- The founder and chief executive officer of a Houston software development company pled not guilty Thursday in Texas federal court of charges of playing a role in a $32 million securities and wire fraud ...
  • SEC Settles With 2 Over $370K Insider Trading Scheme
    Law360, New York (December 15, 2017, 6:59 PM EST) -- A former Arizona employee of a semiconductor company and his friend who both copped to securities fraud for what federal prosecutors alleged was an insider trading scheme that netted almost $370,000 have agreed to fork over some of that ...
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    lines of many Regulation not solicitation. of because investment to period by impact before of willing of opportunity. securities fraud connected connection smaller Exchanges for The either Section is qualification the value review regulating NASDAQ should serve small communities. sources increasing of ...
  • Man gets prison for scamming millions from elderly investors
    SAN DIEGO — One of two men who scammed 17 people into investing millions of dollars into a medical syringe prototype was sentenced Friday to 35 years and eight months in state prison. Matthew Mazur, 53, was convicted last month of 36 counts, including grand theft, securities fraud and theft from ...
  • Women leaders help cut down corporate fraud, investors say
    Dr. Oliver Rui, a Shanghai-based professor of finance and accounting at the China Europe International Business School, said their study looked at 10 years of data and 1,400 cases from the Chinese Securities Regulatory Commission and found “strong evidence” that the more male-dominated board ...
  • Pennsylvania man admits to trading on tips about drug company
    Daniel Perez, who authorities said lived next door to a former Celator accountant in Yardley, Pennsylvania, entered his plea to one count of securities fraud in federal court in Trenton, New Jersey, prosecutors said. The plea followed Perez's arrest in August. Prosecutors at that time announced that three ...
  • Schumer asks feds to hire priest for Brooklyn jail
    Martin Shkreli, the notorious former pharmaceutical company owner convicted of securities fraud, is currently being held there while he waits to be sentenced in Brooklyn Federal Court in January. Shkreli, 34, came under fire in an unrelated matter two years ago. As the owner of Turing Pharmaceuticals, ...
  • Brash Milwaukee landlord wins round in one lawsuit but is hit with new accusation — from his uncle
    Dahlman said he is owed about $330,000 in principal and interest, according to his lawsuit that charges his nephew with securities fraud and breach of contract. Rezny is the Milwaukee landlord who about one year ago came under the scrutiny of the Milwaukee City Attorney's Office. The office has been ...

RSS SEC – Press Releases

  • SEC Names Kenneth A. Johnson as Chief Operating Officer
    The Securities and Exchange Commission today announced that Kenneth A. Johnson has been named the agency's Chief Operating Officer (COO). Mr. Johnson has served as Acting COO since February 2017. In his role as COO, Mr. Johnson oversees the SEC's operational and administrative functions, including the agency's Office of Human Resources; Office of Acquisitions; Office of […]
  • Division of Trading and Markets Deputy Director Gary Barnett to Retire
    The Securities and Exchange Commission today announced that Gary Barnett, Deputy Director in the Division of Trading and Markets, will retire from the agency at the end of the year. Since January 2015, Mr. Barnett has overseen the division’s Office of Broker-Dealer Finances, Office of Derivatives Policy, Office of Trading Practices, its Volcker rule team, […]
  • SEC Appoints New Chairman and Board Members to PCAOB
    The Securities and Exchange Commission today announced the appointment of William D. Duhnke III as Chairman and J. Robert Brown, Kathleen M. Hamm, James G. Kaiser, and Duane M. DesParte as Board members of the Public Company Accounting Oversight Board (PCAOB). The Sarbanes-Oxley Act of 2002 established the PCAOB to oversee the audits of public […]
  • SEC Charges Biopharmaceutical Company With Failing to Properly Disclose Perks for Executives
    The Securities and Exchange Commission today charged a biopharmaceutical company with committing a series of accounting controls and disclosure violations, including the failure to properly report as compensation millions of dollars in perks provided to its then-CEO and then-CFO. According to the SEC, Tennessee-based Provectus lacked sufficient controls surrounding the reporting and disclosure of travel […]
  • Stock Trader Charged in Insider Trading Ring
    The Securities and Exchange Commission today charged a former day trader with making more than $1 million in illegal insider trading profits as part of a ring that allegedly stole confidential information from investment banks and clients so they could trade in advance of secondary stock offerings. The SEC alleges that Joseph Spera schemed with […]