Welcome to the Stockbroker Fraud Blawg

The Stockbroker Fraud Blawg will contain information and commentary related to fraud and other misconduct committed by stockbrokers and other financial professionals.  I am currently developing this blog, as well as the Investment Fraud Blawg, the Securities Fraud Blawg, the Securities Arbitration Blawg, and the Consumer Fraud Blawg.  Please bear with me while I finish a few administrative matters.  I expect to have these blawgs officially up and running within the next few days.

Until then, feel free to visit The Kueser Law Firm’s website or follow me on Twitter.

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The choice of an attorney is an important one and should not be based solely upon advertisements such as this website. Past results afford no guarantee of future results. Every case is different and must be judged on its own merits.

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Lee's Summit, Missouri 64063
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RSS News – Securities Fraud

RSS SEC – Press Releases

  • SEC Shuts Down $102 Million Ponzi Scheme
    The Securities and Exchange Commission today filed charges and obtained an asset freeze against the individuals and companies behind a $102 million Ponzi scheme that bilked investors throughout the U.S. According to the SEC’s complaint, the defendants defrauded more than 600 investors through sales of securities in issuers they controlled, including First Nationle Solution LLC, […]
  • Investors, Innovation, and Performance Top SEC's Draft Strategic Plan
    The Securities and Exchange Commission today published a draft strategic plan that focuses on investors, innovation, and performance as the top strategic goals in coming years.    The SEC is seeking public comment on the proposed draft that will guide the SEC’s priorities through FY 2022.  The plan highlights the SEC’s commitment to serving the long-term […]
  • Merrill Lynch Admits to Misleading Customers about Trading Venues
    The Securities and Exchange Commission today charged Merrill Lynch, Pierce, Fenner & Smith with misleading customers about how it handled their orders.  Merrill Lynch agreed to settle the charges, admit wrongdoing, and pay a $42 million penalty. According to the SEC’s order, Merrill Lynch falsely informed customers that it had executed millions of orders internally […]
  • Daniel J. Wadley Named as Regional Director of Salt Lake Office
    The Securities and Exchange Commission today named Daniel J. Wadley as Regional Director of its Salt Lake office.  Mr. Wadley succeeds Richard R. Best, whom the agency named Regional Director of its Atlanta office in January. Mr. Wadley, who served as acting Regional Director after Mr. Best’s move to Atlanta, began at the SEC in […]
  • Maurya C. Keating Named an Associate Regional Director for Examinations in New York Regional Office
    The Securities and Exchange Commission today announced that Maurya C. Keating has been named an Associate Regional Director for the Investment Adviser and Investment Company examination program in the agency's New York Regional Office. She will join the agency later this month. Ms. Keating most recently served as a Lead Director/Vice President & Associate General […]