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.
Gerhart said the events are part of a education program called, "Iowa Fraud Fighters -- Shield Your Savings." He said many con artists are targeting ... […]
... District Judge Robert N. Chatigny in Hartford last Tuesday for her role in a real estate investment fraud scheme that was admitted to early last year. […]
The securities fraud class-action lawsuit filed against CytRx on March 14, 2014 is on behalf of all persons who purchased or otherwise acquired CytRx ... […]
The action also asks the Court for protection from securities fraud, deceptive business practices and civil conspiracy arising from the unlawful issuance ... […]
The 57-count complaint included securities fraud, grand theft, elder abuse, burglary and conspiracy. The joint investigation identified 18 victims ... […]
SEC Clears Appeal on R. Allen Stanford Fraud ... Convicted of securities fraud in Houston, Texas, the 64-year-old Stanford is serving a 110-year ... […]
TelexFREE Inc. has offered fraudulent and unregistered securities in Massachusetts by running a multi-level marketing scheme, Galvin's office alleged ... […]
... charged last week with mail and wire fraud by the U.S. Attorney's Office and with securities fraud by the U.S. Securities and Exchange Commission. […]
The jury convicted Douglas Swenson, 65, of Eagle, on 34 counts of wire fraud and 44 counts of securities fraud. The jury convicted Mark Ellison, 65, ... […]
... Inc. (“InnerWorkings” or the “Company”) (NASDAQ GS: INWK ) of an upcoming deadline involving a securities fraud class action lawsuit commenced ... […]
A grand jury indictment unsealed that day charged him with 10 counts of securities fraud and making false filings to the SEC, including signing the ... […]
