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.
Total 5,000 IDs have been found to have been duped by them and these IDs have invested in the luring scheme. Initially, the returns to the tune of 12 per cent in a month were offered. The plan had the ingredients of monthly payout and the referral income for the persons on the top line, […]
Police said the company beeped on their radar after multiple complaints were received about the duo, who were running a company called bitmineplus.org since December 2016. During investigation they found that the company was offering returns at 12% for bitcoin investments. Investors were asked ...
The Haryana Cyber Crime cell today arrested two persons accused of running a fraudulent bitcoin investment scheme. The cell arrested Deepak Jangra (37) and Deepak Malhotra (56) for the fraud. The duo launched the scheme promising high returns for investors through investment in bitcoin.
Just a few days after Pune's bitcoin scam came to light, the police have registered a similar case in Delhi NCR where the duo belonging to Haryana has duped as many as 5,000 people by luring them to invest their money in the scheme through an online portal. This scheme guaranteed a 12% return in ...
Locke then credited approximately half these funds to the victims who had joined his non-existent occupational pension scheme, telling them that the other half would be invested. However, there was no investment and by far the lion's share of these funds was retained by Locke who spent the money on ...
“Initially, the investors got the due returns in the form of bitcoin and the withdrawal was also made by various investors. This helped in building confidence of the investors and in return they got more investment from the new and existing clients,” said DCP Aynesh Roy, who supervised the investigation ...
While Carlson recognized “the scale of the alleged harm done to investors” as a result of the $200 million fraud at Jay Peak Resort under the auspices of the state-run Vermont EB-5 Regional Center, he says the five investors in the case have recouped their losses through a lawsuit brought by the ...
Experian (OTCMKTS:EXPGY) was upgraded by Zacks Investment Research from a “hold” rating to a “buy” rating in a research report issued on Monday, ... The Decision Analytics segment provides application processing, customer management, fraud solutions and collections software and systems.
... tumbled into insolvency last year amid allegations of accounting fraud. The deal was made possible after Sberbank dropped a raft of lawsuits in a bruising battle to have its claims recognised. The stake, which has yet to be determined, will dwarf Russian investment into Croatia since its independence ...
An unregistered advisor with little investing experience raised $1.4 million from family and friends and squandered the money on bad investments and a lavish lifestyle, federal prosecutors say. Amrit Chahal, 30, is charged with fraud for an investment scheme that used forged documents and fictitious ...
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 ...
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 ...
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) ...
“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.
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 ...
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 ...
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 ...
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 ...
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 ...
All three men are accused of conspiracy, securities fraud and wire fraud, as well as civil claims by the U.S. Securities and Exchange Commission. Authorities claim that Trapani, 27, Sharma, 26, and Farkas, 31, cheated investors by claiming to have developed a debit card allowing users to make ...
