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 using FINRA’s BrokerCheck tool. Background and other information related to Registered Investment Advisers (RIAs) can be found on the Investment Adviser Public Disclosure website. In addition to these sites, there are various third-party sites/services that provide information related to stockbrokers, financial advisors, and investment advisers.
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. The choice of an attorney is an important one and should not be based solely upon advertisements such as this website. Past results afford no guarantee of future results. Every case is different and must be judged on its own merits. *Any information submitted via this website may not be secure and/or confidential. Merely contacting this firm does not establish an attorney-client relationship.
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 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. The choice of an attorney is an important one and should not be based solely upon advertisements such as this website. Past results afford no guarantee of future results. Every case is different and must be judged on its own merits. *Any information submitted via this website may not be secure and/or confidential. Merely contacting this firm does not establish an attorney-client relationship.
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 blog are subject to the Disclaimer at the bottom of the page.
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 of investment loss suffered by the investor; (3) the type or types of investments involved; and (4) whether the stockbroker, adviser, or brokerage firm has previously regulatory issues. There are other factors that are involved, as well.
If you feel you have been the victim of investment fraud or securities fraud, please contact an attorney. If you would like to speak with The Kueser Law Firm, please call the firm at (816) 374-5865 or send us an href=”mailto:jason@jmkesquire.com&subject=Contact from Kueser Law Firm blog”>e-mail.
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. The choice of an attorney is an important one and should not be based solely upon advertisements such as this website. Past results afford no guarantee of future results. Every case is different and must be judged on its own merits. *Any information submitted via this website may not be secure and/or confidential. Merely contacting this firm does not establish an attorney-client relationship.
The choice of an attorney is an important one and should not be based solely upon advertisements such as this website. Past results afford no guarantee of future results. Every case is different and must be judged on its own merits.
*Any information submitted via this website may not be secure and/or confidential. Merely contacting this firm does not establish an attorney-client relationship.
HARTFORD >> A former Middletown man has waived his right to indictment and pleaded guilty in federal court Tuesday to running an investment fraud scheme. Jonathan Gracia, 24, was charged with one count of wire fraud stemming from the investment ...See all stories on this topic » […]
Internal fraud is a major cause of loss to businesses because often nobody else runs their eye over the books. But what to do? PwC crime ... "If they find something wrong they don't know whether it is the start, middle or end of a fraud. "In 90 per ...See all stories on this topic » […]
Fraud victim Charles Betts says, "I ain't got nothing left." That is the exact reason 80-year-old Charles Betts is back at work. He is transporting cattle again after he lost more than $100,000 of his savings in an investment scam. Betts says, "I ...See all stories on this topic » […]
VANCOUVER - Victims of a doctor-turned-fraudster will be getting some of their money back six years after the man's murder. The B.C. government said Wednesday it is distributing just over $930,000 to dozens of investors of William Christopher Teet Fung ...See all stories on this topic » […]
In December 2010, the U.S. Attorney's Office and several law enforcement and regulatory partners announced the formation of the Connecticut Securities, Commodities and Investor Fraud Task Force, which is investigating matters relating to insider ...See all stories on this topic » […]
... Association's (NASAA) most recent enforcement report, oil and gas investments were the fourth most common product involved in state securities enforcement cases, with nearly 40% of responding jurisdictions reporting energy-related investment fraud ...See all stories on this topic » […]
BUSINESSMEN jailed over an investment scam had tens of thousands of pounds of assets seized. Paul Dallimore and Alun Weeks, both 62, and Mohammed Miah, 33, were sent to prison last July for their involvement in a business called Global Microcap ...See all stories on this topic »South Wales Argus […]
Bob Casey, D-Pa., Tuesday introduced legislation that would impose additional civil fines for financial fraud against seniors. The Senior Investor Protections Enhancement Act of 2013 would tack on an additional $50,000 in penalties for fraudulent ...See all stories on this topic » […]
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Deirdre M Daly, Acting United States Attorney for the District of Connecticut, and Kimberly K Mertz, Special Agent in Charge of the New Haven Division of the Federal Bureau of Investigation, announced that Jonathan Gracia, 24, formerly of Middletown ...See all stories on this topic » […]
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David Phillips, the founder of defunct real estate investment firm First Leaside Group of Companies, told an Ontario Securities Commission panel that he could not reveal a “viability” report at the heart of the fraud case against him to investors for ...See all stories on this topic »The Province […]
A North Carolina man who was the owner and operator of an investment fund that defrauded investors of approximately $6 million over a seven-year period agreed to plead guilty to securities fraud in US District Court on June 17. James Shepherd, fifty ...See all stories on this topic »Accountingweb.com […]
A self-employed Rancho Santa Fe consultant pleaded guilty June 18 to a federal charge of conspiracy to commit securities fraud in connection with Florida-based penny stock company iTrackr. David Bahr, 54, will be sentenced Sept. 3 by U.S. District ...See all stories on this topic » […]
Silence pleaded guilty in March to two felony counts of selling unregistered securities. Numerous charges of securities fraud, grand theft and selling unregistered securities were dismissed as part of the plea agreement. Greenwood also ordered Silence ...See all stories on this topic » […]
A Rancho Santa Fe stock promoter has been accused of fraudulently arranging the purchase of $2.5 million worth of shares in a penny stock in an effort to boost its price. The Securities and Exchange Commission said Tuesday that it was charging David F.See all stories on this topic » […]
A Rancho Santa Fe stock promoter pleaded guilty Monday in San Diego federal court to committing securities fraud. David F. Bahr, 54, admitted that he and others attempted to artificially inflate the price of shares of iTrackr, a penny stock. A federal ...See all stories on this topic » […]
Law360, New York (June 18, 2013, 3:22 PM ET) -- Several Allianz Global Investors units and Swedish national pension fund Fjarde AP-fonden have dismissed their claims in a multidistrict litigation claiming Merck & Co. and its executives misrepresented ...See all stories on this topic » […]
A Rancho Santa Fe stock promoter pleaded guilty to committing security fraud at a federal courthouse in San Diego on Monday. David F. Bahr, 54, admitted that he and others attempted to artificially inflate the price of shares of iTrackr, a penny stock ...See all stories on this topic » […]
WASHINGTON--U.S. securities regulators plan to require certain defendants to admit to wrongdoing as a condition of settling securities fraud charges, Securities and Exchange Commission Chairman Mary Jo White said Tuesday. The move marks the most ...See all stories on this topic » […]
