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

  • GE sued by shareholders
    ... Electric Co. on Friday, claiming the conglomerate has covered mounting insurance liabilities and a US Securities and Exchange Commission probe, ... the first proposed shareholder class action accusing GE of securities fraud since the company surprised investors with two negative announcements ...
  • Barrow back campaigning, this time for secretary of state
    Barrow proposes to expand Georgia's program to combat securities fraud. Securities are stocks, bonds and other investment instruments, and he says that much of the fraud takes place outside of federal jurisdiction but within the jurisdiction of the state, where it is a secretary of state's office responsibility.
  • Texas Republicans concentrating fire on each other as primaries near
    The ad makes no mention of the fact that Ken Paxton is presently under indictment and accused of securities fraud, a charge he stoutly denies. But voters could easily connect those dots. And, it wouldn't take much for the only Democrat in the attorney general's race, Austin lawyer Justin Nelson, to tweak ...
  • Jury Convicts Kansas City Man of Investment Fraud Scheme
    Luscombe's stated investment strategy was to trade securities in the stock market based on the identification of trends in the upward or downward direction of the stock price. Luscombe told investors the risk was very low and minimal because he constantly monitored the stock price. Luscombe told ...
  • Blame for fraud must be shared across the system
    Financial scams have an uncanny knack of revisiting the country every decade. First, the Harshad Mehta-led securities scam shook the nation in the '90s. This was followed by the pay-order fraud perpetrated by Ketan Parekh in the first decade of this century. Nirav Modi is now in the eye of a new scam.
  • $1.8 bn PNB fraud, macro-data hit equities' movement
    But upper moves in the domestic markets have been limited because of local factors,” Deepak Jasani, Head, Retail Research, HDFC Securities, told IANS. ... PNB shares started to decline after the bank detected a multi-crore fraud case and authorities blamed billionaire diamond trader Nirav Modi for the ...
  • Montclair Tax Revaluation: Learn How Your Property Taxes are Assessed, Mar. 5
    ... by a federal jury today for defrauding two investors of $4 million, U.S. Attorney Craig Carpenito announced. Nicholas Lattanzio, 61, of Montclair, New Jersey, was convicted on all counts of an indictment charging him with two counts of wire fraud and two counts of securities fraud following a three-week ...
  • GE faces shareholder lawsuit over insurance shortfall, SEC probe
    ... by a shareholder who accused the conglomerate of concealing mounting insurance liabilities and a U.S. Securities and Exchange Commission probe, ... the first proposed shareholder class action accusing GE of securities fraud since the company surprised investors with two negative announcements ...
  • SGYP INVESTOR ALERT: The Law Offices of Vincent Wong Reminds Investors of an Investigation ...
    SGYP INVESTOR ALERT: The Law Offices of Vincent Wong Reminds Investors of an Investigation Involving Possible Securities Fraud Violations by the Board of Directors of Synergy Pharmaceuticals Inc. The Law Offices of Vincent Wong notifies investors of an investigation concerning whether Synergy ...

RSS SEC – Press Releases

  • SEC Obtains Bars and Suspensions Against Individuals and Accounting Firm in Shell Factory Scheme
    The Securities and Exchange Commission today announced charges against three Israeli residents, a Washington, D.C. attorney, and an Israeli auditor and his Maryland-based accounting firm for their roles in a fraudulent scheme in the creation of numerous public shell companies.  Under the terms of their settlements with the SEC, the three Israeli residents will be […]
  • SEC Suspends Trading in Three Issuers Claiming Involvement in Cryptocurrency and Blockchain Technology
    The Securities and Exchange Commission today suspended trading in three companies amid questions surrounding similar statements they made about the acquisition of cryptocurrency and blockchain technology-related assets. The SEC’s trading suspension orders state that recent press releases issued by Cherubim Interests Inc. (CHIT), PDX Partners Inc. (PDXP), and Victura Construction Group Inc. (VICT) claimed that […]
  • Kyle Moffatt Named Chief Accountant in Division of Corporation Finance
    The Securities and Exchange Commission today announced that Kyle Moffatt has been named Chief Accountant in the Division of Corporation Finance. Mr. Moffatt has served as Acting Chief Accountant in the Division since January 2018.  In that role, Mr. Moffatt has overseen the Division’s work to assist companies with the implementation of revenue recognition and […]
  • Karen Garnett, Associate Director of Division of Corporation Finance, to Leave Agency After 23 Years of Service
    The Securities and Exchange Commission today announced that Karen Garnett, an Associate Director in the Division of Corporation Finance, will leave the agency in February. As an Associate Director overseeing the Division’s disclosure review program, Ms. Garnett led the Division’s selective review of transactional and periodic filings by issuers in a range of industries, including […]
  • SEC to Hold National Compliance Outreach Seminar for Investment Companies and Investment Advisers
    The Securities and Exchange Commission today announced the opening of registration for its compliance outreach program’s national seminar for investment companies and investment advisers.  The event is intended to help Chief Compliance Officers (CCOs) and other senior personnel at investment companies and investment advisory firms to enhance their compliance programs for the protection of investors. […]