On July 29, 2019, InvestmentNews.com (citing an article by the Wall Street Journal) noted that the Certified Financial Planner Board of Standards "fails to list regulatory and criminal misconduct and…
Earlier today, the Massachusetts Securities Division filed an administrative complaint against SII Investments for violating securities laws with respect to its sale of Real Estate Investment Trusts (REITs) and its…
Investors need to be careful when they review and rely on performance reports provided by their stockbroker or financial advisor. I recently reviewed a performance report that was provided to…
FINRA recently underwent some changes to its BrokerCheck website. For those that do not know, BrokerCheck is the online repository in which the Financial Industry Regulatory Authority (FINRA) discloses certain…
Summary of Securities Arbitration Statistics as reported by FINRA for the two-month period ended February 2011.
In this video, Jason M. Kueser discusses different factors that securities fraud attorneys consider in determining which cases to pursue.
In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.
Also available at KansasCityLaw.tv In this video, Jason M. Kueser discusses whether a defrauded consumer has the right to file a lawsuit. There are a variety of different types of consumer…
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…
Also available at KansasCityLaw.tv 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…