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

  • Investors In PowerSecure Stock Suit Out Of Tries At 4th Circ.
    Law360, New York (December 12, 2017, 8:09 PM EST) -- The full Fourth Circuit on Tuesday summarily rejected an investor's bid to reconsider its decision not to resuscitate a securities fraud case against PowerSecure International Inc. and its CEO, leaving shareholders who blamed the company when ...
  • BC government expects changes in 2018 to help collect fraud penalties, pursue criminal convictions
    In a speech earlier this month to an anti-corruption conference in Vancouver, Eby, the attorney general, citing the Postmedia investigation, said there is no question B.C. has preferred to pursue fraud cases through securities commission investigations and penalties over police investigations and criminal ...
  • Uresti adds more names as potential witnesses for upcoming criminal trial
    Uresti, a San Antonio Democrat, is facing 11 felony charges, including wire and securities fraud, conspiracy and acting as an unregistered securities broker ... Prosecutors have called FourWinds a Ponzi scheme, an investment fraud that involves the payment of purported returns to earlier investors from ...
  • Judge Won't Help Out Convicted Analyst's Firm On Legal Fees
    Law360, New York (December 12, 2017, 6:35 PM EST) -- A New York federal judge has refused a request by MSD Capital LP to change the forfeiture-restitution balance in the case of a convicted insider trader who had been an analyst there, saying Monday he didn't have jurisdiction since there's now ...
  • St. Lawrence sentencing likely Wednesday as judge rules investor losses not quantified
    Troodler pleaded guilty to securities fraud and conspiracy in March and cooperated with prosecutors for a lesser sentence by testifying against St. Lawrence. Troodler faces two to four years in prison. Troodler served as the RLDC's executive director while St. Lawrence led the RLDC board. Troodler also ...
  • RIA raked in $780K in undisclosed fees, clients lost over $1M: SEC
    The SEC charged McClure and the Westport, Connecticut-based firm this week with securities fraud. ... accounts, and misused that authority when they repeatedly purchased securities in client accounts that generated undisclosed markups and fees for themselves,” according to the SEC's complaint.
  • Finra Fights Elder Fraud
    Lisa Bleier, managing director and associate general counsel of the Securities Industry and Financial Markets Association (SIFMA), said brokers are out in front on this one. "Hopefully the rules could apply to RIAs through the Securities and Exchange Commission and banking institutions at some point in ...
  • SHAREHOLDER ALERT: Pomerantz Law Firm Investigates Claims On Behalf of Investors of ...
    NEW YORK, Dec. 12, 2017 /PRNewswire/ -- Pomerantz LLP is investigating claims on behalf of investors of Meridian Bioscience, Inc. ("Meridian" or the "Company") (NASDAQ: VIVO). Such investors are advised to contact Robert S. Willoughby at rswilloughby@pomlaw.com or 888-476-6529, ext. 9980.
  • Former Orchid Town Council member Thomas Buck facing federal charges of securities fraud
    It wasn't until Oct. 31, one week after Thomas Buck resigned from the Orchid Town Council, federal prosecutors in Indiana charged him with securities fraud. That same day, the U.S. Securities and Exchange Commission announced Buck had agreed to a $5 million settlement of charges that he received ...
  • Shkreli's bros: Drug company raises everyday vitamin price by 800 percent
    The Birmingham, Alabama-based company raised its prices shortly after acquiring the rights to the drugs in a “buy-and-raise” deal made notorious by Martin Shkreli, the hedge fund investor recently convicted of securities fraud. Shkreli became mired in controversy when he raised the price of a drug ...

RSS SEC – Press Releases

  • 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 […]
  • Company Halts ICO After SEC Raises Registration Concerns
    A California-based company selling digital tokens to investors to raise capital for its blockchain-based food review service halted its initial coin offering (ICO) after being contacted by the Securities and Exchange Commission, and agreed to an order in which the Commission found that its conduct constituted unregistered securities offers and sales. According to the SEC’s […]
  • SEC Modifies Approach to Form N-PORT Filing Requirements
    In recognition of the importance of sound data security practices and protocols for sensitive, non-public information, the Securities and Exchange Commission today modified its approach to the pending requirement for registered investment companies to file Form N‑PORT electronically while the agency continues its previously announced review and uplift of its EDGAR and other systems. For […]