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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Message to Investors: Don’t Ignore Losses in Your Investment Accounts

According to a recent article on InvestmentNews.com, a study commissioned by Charles Schwab revealed that a significant percentage of investors are unaware of the losses sustained in their accounts. To make matters worse, more than one-third of the investors surveyed did not know which mutual funds they owned and less than one-third spoke with their […]

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TheAtlantic.com: The Final Days of Merrill Lynch

The September 2009 edition of The Atlantic contains a story written by William D. Cohan, which outlines the Final Days of Merrill Lynch. Mr. Cohan is also the author of House of Cards: A Tale of Hubris and Wretched Excess on Wall Street (available at Amazon.com). This article is an worthwhile (and brief) read for […]

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Do You Understand the Fees Charged by Your Mutual Funds? Probably Not.

In a July 31, 2009 article, Sam Mamundi of Marketwatch.com discussed the hidden sales fees charged by mutual funds. As noted in the article, “[t]he majority of retail funds are sold through brokerages, and each brokerage firm levies a range of charges to the fund for every sale. The cost of these agreements is passed […]

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Fidelity Cautions Investors on Leveraged ETFs?

On August 4, 2009, the Wall Street Journal reported that Fidelity Investments had joined other broker-dealers in warning its customers about the risks of investing in Leveraged ETFs (see other blawg posts on this topic here and here). The article, written by Daisy Maxey, states that Fidelity’s website warned investors that “Leveraged products are complex, […]

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More Broker Dealers Restrict Sales of Leveraged ETFs

Weeks after Edward D. Jones, Ameriprise, Linsco Private Ledger (LPL) and UBS announced that they were restricting the sale of leveraged ETFs (see here), two more broker-dealers have decided to take action related to their sales of these risky, and often misunderstood investments. As reported by the Wall Street Journal, Morgan Stanley Smith Barney announced […]

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Firms Asked to Account for Sales of Leveraged ETFs

According to an article on InvestmentNews, Massachusetts securities regulators have subpoenaed four brokerage firms for information related to their sales practices of leveraged ETFs. The subpoenas come only a few weeks after Edward D. Jones, Ameriprise, Linsco Private Ledger (LPL) and UBS restricted the sale of the products or stopped selling leveraged ETFs altogether. This […]

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Brokerage Firms Pay Billions in Bonuses in 2008 While Taking Taxpayer Money

On July 30, 2009, New York Attorney General Andrew Cuomo issued a report entitled “No Rhyme or Reason: The ‘Heads I Win, Tails You Lose’ Bank Bonus Culture.” In the report, Mr. Cuomo discusses the compensation programs instituted by banks and brokerage firms while the economy was heading for, and in the midst of, crisis. […]

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Considering Hiring a New Investment Adviser?

Earlier this week, The Wall Street Journal reported that while the four major Wall Street brokerage firms experienced an outflow of $8 billion of assets in 2008, Registered Investment Advisers brought in more than $108 billion in new assets during the same period. This activity likely reflects a shift in investor preference from transaction-based broker […]

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SEC Charges Morgan Keegan for Fraudulent Marketing and Sales of Auction Rate Securities

On July 21, 2009, the Securities and Exchange Commission (SEC) charged Morgan Keegan & Company. In its Complaint, the SEC seeks an injunction for violation of the federal securities laws, as well as equitable relief for Morgan Keegan investors. Included in this equitable relief is a request for a court order requiring Morgan Keegan to […]

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SEC permanently changes rules related to “naked” short selling

In a much anticipated move, the Securities and Exchange Commission (SEC) made permanent a rule that it hopes will curb abusive “naked” short selling practices in the securities markets. Short selling is the practice of selling a security that a person does not own. In essence, the person (the “short seller”) “borrows” the security from […]

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RSS News – Securities Fraud

  • SEC charges third 'mastermind' in ICO fraud case
    The SEC hopes to not only recover any "ill-gotten gains" from Trapani (plus penalties), but to ban him from serving in a company's leadership or participating in any other securities trading. He's facing additional fraud charges from the US Attorney's Office for the Southern District of New York, three of ...
  • The Business Deals That Could Imperil Trump
    One of its principals was a Russian émigré, Felix Sater, linked to organized crime who served time for felony assault and who later pleaded guilty to racketeering involving a $40 million stock fraud scheme. Belgian authorities accused a Kazakh financier recruited by Bayrock of carrying out a $55 million ...
  • Co-Founder of Centra Tech faces criminal charges by the SEC in fraudulent ICO scheme
    The United States Securities and Exchanges Commission [SEC] has announced additional fraud charges against Centra Tech Inc. The SEC has charged the company's co-founder, Raymond Trapani with criminal charges due to the fraudulent scheme related to Centra Tech's $32 million ICO of CTR ...
  • Third Co-Founder Of Centra Tech Charged With $25 Mln Securities Fraud
    The third co-founder of crypto financial services startup Centra Tech Raymond Trapani has been arrested yesterday, April 20, and charged with securities and wire fraud of more than $25 mln associated with the company's Initial Coin Offering (ICO), according to the US Department of Justice's (DOJ) ...
  • Alleged N4.7bn Fraud: EFCC Witness Testifies Against Ladoja
    “We conducted a scientific research on the houses and premises of the portfolio manager and Mcclace Securities and we recovered a paper from Mcclace Securities, showing the distribution of funds to Oyo State; Heritage Apartments owned by Chief Atanda benefitted from the proceeds of shares.
  • Third Cryptocurrency Co-Founder Charged With Scheme to Defraud Investors
    TRAPANI is charged in a four-count criminal complaint with one count of conspiracy to commit securities fraud, which carries a maximum potential sentence of five years in prison; one count of conspiracy to commit wire fraud, which carries a maximum potential sentence of 20 years in prison; one count of ...
  • Judge dismisses EB-5 investor lawsuit against state
    Citing the state's absolute immunity from third party civil claims, Carlson ruled against all 16 counts brought by Barr Law Group of Stowe, which represented five investors, including Tony Sutton, a British investor, in the case. The counts included negligence, fraud, willful misconduct, breach of fiduciary ...
  • ACETO INVESTIGATION INITIATED by Former Louisiana Attorney General: Kahn Swick & Foti ...
    KSF, whose partners include the former Louisiana Attorney General Charles C. Foti, Jr., is a law firm focused on securities, antitrust and consumer class actions, along with merger & acquisition and breach of fiduciary litigation against publicly traded companies on behalf of shareholders. The firm has ...
  • Iowa agency to represent victims of alleged investor fraud
    The Iowa State Insurance Commission filed administrative charges alleging Blazefly attracted investors with business practices that are misleading and fraudulent. Christensen says the president of Blazefly would make the rounds of tech conventions and do interviews posted on YouTube and those ...
  • ICO News: Charges mount against Floyd Mayweather-endorsed ICO
    Centra co-founder Ray Trapani has become the third Centra co-founder to be arrested and charged with fraud in connection with a token sale which took ... Trapani got charged with one count of conspiracy to commit securities fraud, one count of conspiracy to commit wire fraud, one count of securities ...

RSS SEC – Press Releases

  • SEC Charges Additional Defendant in Fraudulent ICO Scheme
    The Securities and Exchange Commission today announced additional fraud charges stemming from an investigation of Centra Tech Inc.’s $32 million initial coin offering.  In an amended complaint filed today, the SEC charged one of Centra’s co-founders, Raymond Trapani, in a fraudulent scheme related to Centra’s 2017 ICO, in which the company issued “CTR Tokens” to […]
  • Douglas Scheidt, Associate Director and Chief Counsel in the Division of Investment Management, to Leave Agency After 32 Years of Public Service
    The Securities and Exchange Commission announced today that Douglas Scheidt, an Associate Director and the Chief Counsel in the Division of Investment Management, will retire from the SEC at the end of September. Mr. Scheidt has led the Division’s Chief Counsel’s Office for over 21 years.  During his tenure, Mr. Scheidt has provided legal and […]
  • 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.  […]