Posts Tagged ‘financial adviser’

Where to Turn for Financial Advice?

Written on June 12th, 2009 by Jason M. Kueserno shouts

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? The New York Times published an interesting article on June 5, 2009, discussing this issue. The Financial Industry Regulatory Authority has a publicly available repository of information related to securities professionals (BrokerCheck) and the SEC maintains the IAPD, which is a database containing information related to investment advisers. While these are valuable sources in checking the background of investment professionals, they are often inadequate. The New York Times also published an article about financial planners in their “need to know” series that is worth reading.

Unfortunately, investors do not learn that their adviser has taken advantage of them until after they have suffered devastating financial losses. The Kueser Law Firm represents investors that have been the victims of securities fraud, investment fraud, as well as other forms of stockbroker and financial adviser misconduct. In addition, the firm represents consumers that have been defrauded. If you would like to contact the firm for a free consultation, please call 816.374.5865 or visit our website, www.jmkesquire.com, for more information.

Share
Filed under Uncategorized Tags:, , , ,

Avoiding Investment Fraud

Written on April 29th, 2009 by Jason M. Kueserno shouts

Darren Barbee of the Fort Worth Star-Telegram has written a good article that outlines various ways investors can reduce the risk of being defrauded by a financial or investment adviser.  

This is a “must read” article that anyone who is dealing with an investment adviser.  In addition, The Kueser Law Firm’s website contains an Investor Resource Center that provides helpful links to several sources that investors can utilize to do a background check on their financial or investment adviser (Investment Adviser Public Disclosure) and stock broker (BrokerCheck), as well as insurance agents that are registered to sell variable insurance products (BrokerCheck).  In these uncertain times, it is imperative that investors know everything they can about the professionals they entrust with their future.

Share