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?

Filed under Investor Education by Jason M. Kueser on March 27, 2011 at 12:35 pm {no comments}

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?

Filed under Investment Fraud, Investor Education, Ponzi Schemes, Retirement Scams, Securities Litigation by Jason M. Kueser on March 27, 2011 at 7:26 am {no comments}

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

Filed under Featured, Investment Fraud, Investor Education, Retirement Scams, Securities Arbitration, Securities Litigation by Jason M. Kueser on March 27, 2011 at 7:17 am {no comments}

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 do attorneys decide which securities fraud cases to pursue?

Filed under Featured, Investment Fraud, Investor Education, Securities Arbitration, Securities Litigation by Jason M. Kueser on March 26, 2011 at 8:51 pm {no comments}

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

Filed under Investments, Investor Education, Leveraged ETF, Mutual Funds, Other Investments by Jason M. Kueser on March 1, 2010 at 12:14 pm {one comment}

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

Filed under Investment Fraud, Investor Education, Leveraged ETF, Securities Arbitration by Jason M. Kueser on October 4, 2009 at 4:23 pm {no comments}

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

Filed under Auction Rate Securities, Featured, Investment Fraud, Securities Regulation by Jason M. Kueser on October 3, 2009 at 3:35 pm {no comments}

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

Filed under Auction Rate Securities, Investment Fraud, Investor Education, Securities Regulation by Jason M. Kueser on September 23, 2009 at 10:09 am {no comments}

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

Filed under Featured, Investment Fraud, Investments, Investor Education, Leveraged ETF, Mutual Funds, Other Investments, Securities Regulation by Jason M. Kueser on August 21, 2009 at 11:04 pm {no comments}

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

Filed under Auction Rate Securities, Investment Fraud, Securities Litigation, Securities Regulation by Jason M. Kueser on August 18, 2009 at 1:56 pm {no comments}

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

  • New Fraud Investigation Group Issues Subpoenas to Financial Companies
    WASHINGTON — A new law enforcement group examining securities fraud from the housing bubble and financial crisis has already issued civil subpoenas to 11 financial companies for information related to their actions in the market for residential ...See all stories on this topic »New York Times […]
  • NW Ind. pair accused of real estate scam
    VALPARAISO, Ind.— A Hammond woman and a Lafayette man have been charged with collecting $1.3 million in a real estate scam. The Times of Munster reports (http://bit.ly/zfhlWI ) that 59-year-old Donna Harris pleaded not guilty to securities fraud and ...See all stories on this topic » […]
  • Faruqi & Faruqi, LLP Announces Investigation of Health Management Associates, Inc.
    28, 2012 -- /PRNewswire/ -- Faruqi & Faruqi, LLP, a leading national securities law firm, is investigating potential securities fraud at Health Management Associates, Inc. ("HMA" or the "Company") (NYSE: HMA). On August 3, 2011, Defendants announced ...See all stories on this topic » […]
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RSS SEC – Press Releases

  • SEC Deputy Inspector General to Serve as Agency’s Interim Inspector General
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  • SEC Charges Boiler Room Operators in Florida-Based Penny Stock Manipulation Scheme
    FOR IMMEDIATE RELEASE 2012-18 Washington, D.C., Jan. 26, 2012 – The Securities and Exchange Commission today charged a Fort Lauderdale-based firm and its founder with conducting a fraudulent boiler room scheme in which they hyped stock in two thinly-traded penny stock companies while behind the scenes they sold the same stock themselves for illegal profits. […]
  • SEC Charges Latvian Trader in Pervasive Brokerage Account Hijacking Scheme
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