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

  • 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. […]