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

  • 'Pharma Bro' arrives at low-security federal prison
    Shkreli, who was dubbed “Pharma Bro” for his loutish behavior, was sentenced last month to seven years in prison for securities fraud. He was also fined $75,000. The 35-year-old Shkreli was found guilty in August of lying to investors in two failed hedge funds and cheating them out of millions. Copyright ...
  • Tennis Star Endorses 'Lympo': A New Era of Celebrity Blockchain Endorsements?
    Therefore, it seems unlikely that Wozniacki could be mixed up into any sort of legal troubles regarding securities fraud. Perhaps Wozniacki's endorsement could present an example of “the right way” for the spheres of celebrity and blockchain to intersect with one another. However, the future is yet ...
  • Point72 Appoints Harry Schwefel as Co-CIO Alongside Steve Cohen
    Steve Cohen is sharing the role of chief investment officer at Point72 Asset Management with his veteran money manager Harry Schwefel. The firm appointed Schwefel, ... Five years ago, Cohen's firm pleaded guilty to securities fraud and agreed to pay a record $1.8 billion fine. Many of the firm's senior ...
  • Settlement Details with Two Former Dewey Execs Released by SEC
    In a trial against the Dewey executives after the firm collapsed in 2012, DiCarmine was acquitted of criminal charges but Sanders was found guilty of scheme to defraud, securities fraud and conspiracy charges. He was able to avoid jail time but must pay a $1 million find and complete 750 hours of ...
  • RZA weighs in on the Wu-Tang Clan's meeting with James Comey
    A federal court seized the sole copy of the album in March after Shkreli was convicted of securities fraud. Shkreli was sentenced to seven years in federal prison and the future of the record is unclear. RZA was in the nation's capital for a screening of the classic kung fu film “The 36th Chamber of […]
  • US Authorities Charge Investment Adviser With Million Dollar Fraud
    An investment adviser of Indian origin has been charged by U.S. federal authorities for masterminding a fraudulent million dollar investment scheme over several years, PTI reported. Amrit JS Chahal, 30, from Fairfax, Virginia, been charged by the Securities and Exchange Commission (SEC), even as ...
  • Judge Rips Ex-Autonomy CFO's Defense In HP Fraud Trial
    Law360, San Francisco (April 18, 2018, 9:24 PM EDT) -- A California federal judge criticized a defense offered by Autonomy's ex-financial chief as the government's months-long fraud trial neared its conclusion Wednesday, saying his attorneys can't tell a jury that Hewlett-Packard Co.'s own internal ...
  • Golf-Course Stock Tipper Gets Supervised Release Slashed
    Law360 (April 18, 2018, 8:27 PM EDT) -- A former stone salesman who spent about a year in prison for passing around nonpublic stock tips during ... U.S. District Judge Denise J. Casper granted Eric McPhail's motion to modify his conditions of release, move past his securities fraud sentence and ...
  • Woodbridge pushes for its bank records to bring estate claims
    Woodbridge Group of Companies, which filed for bankruptcy amid a securities fraud probe, is seeking a court order to review its pre-petition banking records for possible use in its own lawsuits over its now-acknowledged Ponzi scheme. The high-end property developer in court papers filed on Tuesday ...
  • Texas Sets Pace In Looming Cryptocurrency Crackdowns
    The Texas State Securities Board found “widespread fraud” during a monthlong investigation into cryptocurrency investments, leading to seven regulatory actions with dozens more investigations open, it said in an April 10 report. The agency said it was the first state securities regulator to enter an order ...

RSS SEC – Press Releases

  • SEC Proposes to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Investment Professionals
    The Securities and Exchange Commission today voted to propose a package of rulemakings and interpretations designed to enhance the quality and transparency of investors’ relationships with investment advisers and broker-dealers while preserving access to a variety of types of advice relationships and investment products. Under proposed Regulation Best Interest, a broker-dealer would be required to […]
  • Fee Rate Advisory #3 for Fiscal Year 2018
    The Securities and Exchange Commission today announced that starting on May 22, 2018, the fee rates applicable to most securities transactions will be set at $13.00 per million dollars.   Consequently, each SRO will continue to pay the Commission a rate of $23.10 per million for covered sales occurring on charge dates through May 21, […]
  • SEC Unveils Public Service Announcement to Promote Background Checks on Investor.gov
    The Securities and Exchange Commission today unveiled a public service announcement (PSA) to encourage investors to check the background of their investment professional by using the free search tool on Investor.gov before investing.  Investor.gov, the SEC’s website dedicated to individual investors, provides investors with tools and resources to help them invest wisely and avoid fraud.  […]
  • SEC Staff to Host Roundtable on Market Structure for Thinly-Traded Securities
    The Securities and Exchange Commission today announced its staff will host a roundtable on April 23 that will address the market structure for thinly-traded exchange-listed securities, both equities and exchange-traded products.  The roundtable, which will be held at the SEC's headquarters at 100 F Street, NE, Washington, D.C., will discuss the challenges faced by participants in the […]
  • SEC Awards Whistleblower More Than $2.1 Million
    The Securities and Exchange Commission today announced a whistleblower award of more than $2.1 million to a former company insider whose information led to multiple successful enforcement actions.  The whistleblower’s information strongly supported the findings in the underlying actions and the whistleblower provided ongoing assistance to the staff during the investigation. “The SEC has issued […]