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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Madoff Sentenced to 150 Years

This morning, U.S. District Court Judge Denny Chin sentenced Bernard Madoff to the maximum sentence of 150 years of prison for his role in a “historic” multi-billion dollar fraud. Judge Chin stated “Here the message must be sent that Mr. Madoff’s crimes were extraordinarily evil and that this kind of manipulation of the system is […]

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Another day, more advisers alleged of fraud

On June 11, 2009, the Securities and Exchange Commission filed two fraud actions against different financial/investment advisers. Morgan European Holdings ApS, et al. On June 11, the SEC obtained an emergency court order and asset freeze to shut down a fraudulent prime bank scheme. The action was filed in the United States District Court for […]

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Considering Investing in Mutual Funds?

The New York Times published an informative article by Tara Siegel Bernard on December 16, 2008 that discusses a lot of the basics of mutual funds. This is a great article for anyone who is unfamiliar with mutual funds, but who has or is considering incorporating mutual funds into their investment portfolio. Too often, investors […]

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Where to Turn for Financial Advice?

It seems that each day there is another story about allegations that an investment adviser has stolen money from their clients. Yesterday, the SEC filed a complaint alleging that a New York investment adviser had bilked his clients, many of whom were terminally ill or mentally impaired, out of $6 million. Where do you turn? […]

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Another adviser allegedly defrauds clients

On June 10, 2009, the Securities and Exchange Commission charged Matthew Weitzman, a New York investment adviser, with defrauding his clients out of $6 million. According to the SEC’s Litigation Release (No. 21078), some of these clients were terminally ill or mentally impaired. The SEC filed its complaint in the U.S. District Court for the […]

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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. […]

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RSS News – Securities Fraud

RSS SEC – Press Releases

  • Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
    The Securities and Exchange Commission today announced that Jessica B. Magee has been named the Associate Regional Director for Enforcement in the SEC’s Fort Worth Regional Office.  Ms. Magee succeeds David L. Peavler, who left the agency in May. Ms. Magee joined the SEC as a Staff Attorney in the Enforcement Division in 2010, and […]
  • SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities
    The Securities and Exchange Commission issued an investigative report today cautioning market participants that offers and sales of digital assets by "virtual" organizations are subject to the requirements of the federal securities laws. Such offers and sales, conducted by organizations using distributed ledger or blockchain technology, have been referred to, among other things, as "Initial Coin Offerings" or […]
  • SEC Announces $2.5 Million Whistleblower Award
    The Securities and Exchange Commission today announced an award of nearly $2.5 million to an employee of a domestic government agency whose whistleblower tip helped launch an SEC investigation and whose continued assistance enabled the SEC to address a company's misconduct. ''Whistleblowers can provide a wealth of information and ongoing assistance that helps our agency […]
  • SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
    The Securities and Exchange Commission today announced that Bryan Wood has been named Director of the agency's Office of Legislative and Intergovernmental Affairs. Mr. Wood will advise the Chairman, Commissioners, and SEC staff on legislative matters, provide technical assistance on securities-related legislation to congressional committees and staff, assist in preparing SEC testimony for congressional hearings, and […]
  • Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
    Five federal financial regulatory agencies today announced that they are coordinating their respective reviews of the treatment of certain foreign funds under section 619 of the Dodd-Frank Act, commonly known as the Volcker Rule, and the agencies' implementing regulations. These foreign funds are investment funds organized and offered outside of the United States that are excluded […]