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

  • 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.  […]