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

RSS SEC – Press Releases

  • SEC Charges Former Polycom CEO With Hiding Perks From Investors
    The Securities and Exchange Commission today charged the former CEO of Silicon Valley-based technology firm Polycom Inc. with using nearly $200,000 in corporate funds for personal perks that were not disclosed to investors. The SEC alleges that Andrew Miller created hundreds of false expense reports with bogus business descriptions for his personal use of company […]
  • SEC Announces Fraud Charges Against Investment Adviser Accused of Concealing Poor Performance of Fund Assets From Investors
    The Securities and Exchange Commission today announced fraud charges against an investment adviser and her New York-based firms accused of hiding the poor performance of loan assets in three collateralized loan obligation (CLO) funds they manage. The SEC’s Enforcement Division alleges that Lynn Tilton and her Patriarch Partners firms have breached their fiduciary duties and […]
  • SEC Charges New York-Based Brokerage Firm With Faulty Underwriting of Public Offering by China-Based Company
    The Securities and Exchange Commission today announced charges against a New York-based brokerage firm responsible for underwriting a public offering despite obtaining a due diligence report indicating that the China-based company’s offering materials contained false information. Macquarie Capital (USA) Inc., a wholly owned subsidiary of global financial services firm Macquarie Group Limited, has agreed to […]
  • SEC Charges Nearly Two Dozen Unregistered Broker-Dealers
    The Securities and Exchange Commission today charged nearly two dozen companies and individuals who regularly bought and sold securities on behalf of a suburban Chicago-based trading firm without registering with the SEC as a broker-dealer as required under the federal securities laws. The broker-dealer registration provisions of the securities laws ensure the protection of customers […]
  • SEC Adopts Rules to Facilitate Smaller Companies’ Access to Capital
    The Securities and Exchange Commission today adopted final rules to facilitate smaller companies’ access to capital.  The new rules provide investors with more investment choices. The new rules update and expand Regulation A, an existing exemption from registration for smaller issuers of securities.  The rules are mandated by Title IV of the Jumpstart Our Business […]