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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RSS News – Securities Fraud

RSS SEC – Press Releases

  • Silicon Valley Company Settles Fraud Charge for Misstating Returns to Investors
    The Securities and Exchange Commission today announced that Prosper Funding LLC will pay a $3 million penalty for miscalculating and materially overstating annualized net returns to retail and other investors. San Francisco-based Prosper is a marketplace lender that, through its website, offers and sells securities linked to the performance of its consumer credit loans. According to […]
  • SEC and FINRA to Hold National Compliance Outreach Program for Broker-Dealers on June 27, 2019
    The Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2019 National Compliance Outreach Program for Broker-Dealers, which will be held June 27, 2019, in Chicago. The program is designed to provide an open forum for regulators and industry professionals including compliance, internal audit, and other senior personnel of broker-dealer firms […]
  • Sara Cortes and David Bartels Named Deputy Chief Counsels of the Division of Investment Management
    The Securities and Exchange Commission today announced that Sara Cortes and David P. Bartels have been named Deputy Chief Counsels of the Division of Investment Management. As Deputy Chief Counsels, Ms. Cortes and Mr. Bartels will join a leadership team and staff that are responsible for responding to requests for legal and policy guidance, evaluating […]
  • SEC Charges Former Woodbridge Directors of Investment With Fraud
    The Securities and Exchange Commission today charged two former directors of investments at Woodbridge Group of Companies LLC for their roles in its massive Ponzi scheme. The defendants, California-based Ivan Acevedo and Dane R. Roseman, were separately arrested and charged by criminal authorities, along with Woodbridge owner Robert H. Shapiro.  The SEC previously charged Woodbridge and Shapiro, and Woodbridge’s highest-earning unregistered brokers. In […]
  • SEC Issues Agenda for April 15 Meeting of the Fixed Income Market Structure Advisory Committee
    The Securities and Exchange Commission today released the agenda for the April 15 meeting of the Fixed Income Market Structure Advisory Committee.  The Commission established the advisory committee to provide a formal mechanism through which the Commission can receive advice and recommendations on fixed income market structure issues. The meeting will be held at the […]