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.
By Jonathan Stempel (Reuters) - Citigroup Inc (CN) and its Chief Executive Vikram Pandit on Friday won a dismissal of New York real estate developer Sheldon Solow's lawsuit accusing them of securities fraud for hiding the bank's risks during the 2008 ...See all stories on this topic » […]
"Unfortunately, the potential for fraud is significant, so investors must be extremely cautious about crowdfunding opportunities," Dept. of Corporations Commissioner Jan Lynn Owen said in a statement. Congress has told the Securities and Exchange ...See all stories on this topic » […]
David Connolly, 50, was charged yesterday, May 17, in a 16-count indictment with one count of securities fraud, five counts of mail fraud, three counts of wire fraud and seven counts of money laundering. The indictment was returned a day earlier.See all stories on this topic »NJ.com […]
Vivendi won a US court ruling in 2011 that limited the scope of an earlier group securities-fraud verdict against the company to holders of its American depositary receipts, applying a US Supreme Court decision saying the court didn't have jurisdiction ...See all stories on this topic » […]
(Image credit: Getty Images via @daylife) Even as I was writing a piece Monday morning about the inevitability of securities-fraud lawsuits over JPMorgan Chase's $3 billion trading mess, lawyers were busily cutting and pasting familiar language to ...See all stories on this topic » […]
Now, however, he is accused of securities fraud; he allegedly diverted $47 million of his clients' funds into private ventures, and an FBI agent claims he made false statements during the bureau's investigation of his actions.See all stories on this topic »Advisor.ca […]
David Connolly, 50, of Watchung, New Jersey, was charged in the 16-count indictment with one count of securities fraud, five counts of mail fraud, three counts of wire fraud, and seven counts of money laundering. The indictment was returned May 16, ...See all stories on this topic » […]
A federal grand jury Thursday indicted Spangler on 23 criminal counts, including wire fraud, money laundering and investment-adviser fraud, according to the US Attorney's Office. Parallel civil charges were filed by the Securities and Exchange ...See all stories on this topic » […]
(PG) (PG) board, is charged with conspiracy and securities fraud. Prosecutors say he gave Rajaratnam material, nonpublic information about New York-based Goldman Sachs and Cincinnati-based P&G, the world's largest consumer-products company.See all stories on this topic » […]
David Connolly, 50, was indicted Wednesday by a federal grand jury on one count of securities fraud, five counts of mail fraud, three counts of wire fraud and seven counts of money laundering. Connolly is expected to appear Thursday afternoon before US ...See all stories on this topic » […]
The US Attorney's Office for the District of New Jersey, which conducted a parallel investigation, today indicted Connolly on one count of securities fraud, among other criminal charges. Connolly, who began offering investments in 1996, ...See all stories on this topic » […]
Rothstein was a TD Bank customer while he carried out his massive investment scam. Friday's hearing featured the unusual public admission and apology from Alvarez and the lawyer who handled the case for his firm, Donna Evans.See all stories on this topic » […]
Now, federal attorneys are looking for more victims of Folkert's alleged iStorm investment scheme. “Financial fraud occurs in many forms, including 'Ponzi' and pyramid schemes, investment fraud, theft of government property and assets, identity theft, ...See all stories on this topic » […]
A high-profile incidence of fraud could quickly become a big black eye to the startup community as a whole. Failure to appreciate risk. Angels and venture capitalists are sophisticated investors who understand the magnitude of the risk that investing ...See all stories on this topic »Forbes […]
In a parallel investigation, the Securities and Exchange Commission today filed civil charges against Connolly for securities fraud. In a real estate investment fraud scheme that spanned 2006 to 2009, Connolly defrauded more than 200 victims out of ...See all stories on this topic »NJ.com […]
Spangler's alleged fraud began in 2003 and continued through 2011, according to the SEC. Spangler and his advisory firm, The Spangler Group (TSG), diverted funds from several private investment funds he managed into two cash-poor technology companies, ...See all stories on this topic » […]
by SEC Washington, DC WASHINGTON, DC The Securities and Exchange Commission today charged a New Jersey man with operating a Ponzi-like scheme involving a series of investment vehicles formed for the purported purpose of purchasing and managing rental ...See all stories on this topic » […]
On November 29, 2010, William Graulich IV, 54, Henryville, PA, purported managing partner of iVest International Holdings, Inc., was charged in a federal criminal Complaint for conspiring to perpetrate a multimillion-dollar investment fraud using ...See all stories on this topic »Forbes […]
By then a bet on derivatives backed by US corporate debt had eaten a $2 billion hole into some $8 billion in unrealized gains in JPMorgan's $360 billion investment portfolio. Dimon could have announced the loss sooner, when it was smaller, ...See all stories on this topic » […]
(May 17, 2012, by soi11) MORE While I am generally against the death penalty, anytime there is aggregate fraud of ove... (May 17, 2012, by glennlab) MORE This is the third corrupt Seattle area "investment adviser" in as many years.See all stories on this topic » […]
