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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Video: How can investors review the background of a stockbroker or investment adviser?

Filed under Investor Education by Jason M. Kueser on March 27, 2011 at 12:35 pm {no comments}

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?

Filed under Investment Fraud, Investor Education, Ponzi Schemes, Retirement Scams, Securities Litigation by Jason M. Kueser on March 27, 2011 at 7:26 am {no comments}

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

Filed under Featured, Investment Fraud, Investor Education, Retirement Scams, Securities Arbitration, Securities Litigation by Jason M. Kueser on March 27, 2011 at 7:17 am {no comments}

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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Video: How do attorneys decide which securities fraud cases to pursue?

Filed under Featured, Investment Fraud, Investor Education, Securities Arbitration, Securities Litigation by Jason M. Kueser on March 26, 2011 at 8:51 pm {no comments}

How do attorneys decide which securities fraud cases to pursue? Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses factors that securities fraud attorneys often evaluate in determining which cases to pursue. This often includes a number of factors, including (1) individual aspects of the customer and the customer’s situation; (2) the amount [...]

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New Leveraged ETFs Hit The Market — Investors Beware

Filed under Investments, Investor Education, Leveraged ETF, Mutual Funds, Other Investments by Jason M. Kueser on March 1, 2010 at 12:14 pm {one comment}

Leveraged ETFs have recently returned to the news as Direxion announced the release of two new funds. As reported on Marketwatch.com, one of these new funds seeks to obtain returns equal to 300% of the two-year Treasury yield, while the other fund seeks to obtain returns equal to 300% of the inverse return of the [...]

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Leveraged and Inverse ETFs May Not Be Suitable For All Investors

Filed under Investment Fraud, Investor Education, Leveraged ETF, Securities Arbitration by Jason M. Kueser on October 4, 2009 at 4:23 pm {no comments}

ProFunds Group, one of the largest issuers of leveraged and inverse ETFs recently issued a warning that some of its leveraged and inverse ETFs may not be suitable for all investors. In the prospectus dated October 1, 2009, the company repeatedly states: The Fund is different from most exchangetraded funds in that it seeks leveraged [...]

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Colorado Division of Securities Charges Stifel Nicolaus with Fraudulent Sales of Auction Rate Securities

Filed under Auction Rate Securities, Featured, Investment Fraud, Securities Regulation by Jason M. Kueser on October 3, 2009 at 3:35 pm {no comments}

On October 1, 2009, Colorado Securities Commissioner Fred Joseph announced that the Securities Division had filed a complaint against Stifel, Nicolaus & Company. According to the Division’s news release, the complaint alleges: Stifel Nicolaus falsely represented auction rate securities as liquid, short-term investments to Colorado investors without discussing the risks. These representations gave investors a [...]

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JP Morgan Returns More Than $28 Million to Missouri Auction Rate Securities Investors

Filed under Auction Rate Securities, Investment Fraud, Investor Education, Securities Regulation by Jason M. Kueser on September 23, 2009 at 10:09 am {no comments}

On September 21, 2009, Missouri Secretary of State Robin Carnahan announced that her office had finalized a consent order with JP Morgan Chase & Co. related to the firm’s marketing and sale of auction rate securities (ARS) to Missouri investors. According to the press release, Missouri investors will receive more than $28 million. In addition, [...]

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SEC joins FINRA In Cautioning Investors About Risks of Leveraged ETFs

Filed under Featured, Investment Fraud, Investments, Investor Education, Leveraged ETF, Mutual Funds, Other Investments, Securities Regulation by Jason M. Kueser on August 21, 2009 at 11:04 pm {no comments}

Earlier this week, the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) issued a joint warning cautioning investors on the dangers in investing in leveraged ETFs and inverse ETFs. The two regulators issued the warning because they “believe individual investors may be confused about the performance objectives of leveraged and inverse exchange-traded [...]

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New York Attorney General Sues Charles Schwab Over Auction Rate Securities (ARS) Sales

Filed under Auction Rate Securities, Investment Fraud, Securities Litigation, Securities Regulation by Jason M. Kueser on August 18, 2009 at 1:56 pm {no comments}

Yesterday, August 17, 2009, the Attorney General of the state of New York announced that it had filed a lawsuit against Charles Schwab & Co. for its sales of auction rate securities. According to the press release, the Complaint charges Schwab with violations of the Martin Act for: falsely representing auction rate securities as liquid, [...]

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RSS News – Securities Fraud

  • The 6th Circuit splits with 2nd and 9th, lowers bar for securities claims
    The case began in federal court in Kentucky as a securities fraud class action claiming that the pharmaceutical distributor deceived investors when it concealed its supposedly illegal kickback and false billing deals with pharma manufacturers ...See all stories on this topic »Thomson Reuters News & Insight […]
  • Maiden Hedge Fund Manager Pleads Guilty, Released on $50000 Bond
    Net) – Charlotte hedge fund manager Stephen Ewing Maiden has pleaded guilty to securities fraud for hiding investment losses that cost his victims at least $8.9 million, and was released on a $50,000 unsecured bond until sentencing. “U.S. Magistrate ...See all stories on this topic » […]
  • Broker to plead guilty to fraud
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  • SEC Charges Former LPL Financial Adviser With Fraud
    NEW YORK--The Securities and Exchange Commission on Thursday charged a former Georgia-based LPL Financial LLC adviser with fraud, accusing him of misappropriating about $2 million from at least six clients. Blake Richards allegedly directed ...See all stories on this topic » […]
  • Charlotte man pleads guilty to securities fraud
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  • Securities advisor sentenced to five years in prison for $1.6 million fraud
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  • City of South Miami Charged by SEC for Muni Fraud in Tax-Exempt Status
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  • Texas Securities Board Bulletin: Russell Erxleben stays put
    Russell Erxleben will remain in custody pending his second federal fraud trial. U.S. Magistrate Andrew Austin on May 16 rejected bond for Erxleben, who was indicted in January on wire fraud, securities fraud, and money laundering charges related to an ...See all stories on this topic » […]
  • Charlotte man pleads guilty to securities fraud
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  • Hedge fund manager enters guilty plea
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RSS SEC – Press Releases

  • SEC Charges Dallas-Based Trader With Front Running
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    FOR IMMEDIATE RELEASE2013-92 Washington, D.C., May 23, 2013 — The Securities and Exchange Commission today charged a Rockville, Md.-based proxy adviser for failing to safeguard the confidential proxy voting information of clients participating in a number of significant proxy contests. Additional Materials SEC Order An SEC investigation found that an employe […]
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    FOR IMMEDIATE RELEASE2013-91 Washington, D.C., May 22, 2013 — The Securities and Exchange Commission today charged the City of South Miami, Fla., with defrauding bond investors about the tax-exempt financing eligibility of a mixed-use retail and parking structure being built in its downtown commercial district. Additional Materials SEC Order An SEC investiga […]
  • SEC Charges Chicago-Area Father and Son Conducted Cherry-Picking Scheme at Investment Firm
    FOR IMMEDIATE RELEASE2013-90 Washington, D.C., May 16, 2013 — The Securities and Exchange Commission today charged a father and son and their Chicago-area investment advisory firm with defrauding clients through a cherry-picking scheme that garnered them nearly $2 million in illicit profits, which they spent on luxury homes, vehicles, and vacations. Addition […]
  • SEC Names Keith F. Higgins as Director of Division of Corporation Finance
    FOR IMMEDIATE RELEASE2013-89 Washington, D.C., May 15, 2013 — The Securities and Exchange Commission today named Keith F. Higgins as the new director of the agency’s Division of Corporation Finance. Mr. Higgins comes to the SEC from the law firm of Ropes & Gray LLP where he is a partner in its Boston office with 30 years of experience advising public com […]