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

  • Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
    The Securities and Exchange Commission today announced that Industrial and Commercial Bank of China Financial Services LLC (ICBCFS), a wholly-owned subsidiary of Industrial and Commercial Bank of China Limited, will pay more than $42 million to settle charges for improper handling of “pre-released” American Depositary Receipts (ADRs).  The settlement marks the largest recovery against a […]
  • SEC Announces 2019 Government-Business Forum to Be Held in Omaha
    The Securities and Exchange Commission today announced that it will host the 38th annual Government-Business Forum on August 14, 2019, in Omaha, Nebraska.  The Forum provides a platform to highlight perceived impediments to capital formation, culminating in recommendations for government and private action to improve the environment for small businesses.  The Forum will be hosted […]
  • SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
    The Securities and Exchange Commission today announced that it updated its list of unregistered entities that use misleading information to solicit primarily non-U.S. investors, adding 11 soliciting entities, four impersonators of genuine firms, and nine bogus regulators. The SEC’s list of soliciting entities that have been the subject of investor complaints, known as the Public […]
  • David Peavler Named Director of Fort Worth Office
    The Securities and Exchange Commission today announced that David L. Peavler has been named Director of the Fort Worth Regional Office. Mr. Peavler previously served for nearly 15 years in senior Division of Enforcement roles in the Fort Worth Regional Office, most recently as an Associate Director.  He rejoins the SEC from HD Vest Inc., where […]
  • SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
    The Securities and Exchange Commission today filed a new fraud action against Longfin Corp. and its CEO for falsifying the company’s revenue and, together with a former Longfin consultant, for fraudulently securing the company’s listing on Nasdaq. The SEC’s prior charges against these defendants and two others resulted in a preliminary injunction freezing more than $27 million in allegedly illegal trading […]