• When is “Rate of Return” not the “Real” Rate of Return?

    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 an investor by a major warehouse brokerage firm.  This report actually showed that the investor had lost money, but showed a positive cumulative rate of […]

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  • FINRA BrokerCheck: Beware the … Blue … Flags?

    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 information about stock brokers, financial advisors, etc. to the public.  This information includes employment history, license history, and other information, including investor complaints, arbitration claims, […]

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  • FINRA Securities Arbitration Statistics – February 2011

    Summary of Securities Arbitration Statistics as reported by FINRA for the two-month period ended February 2011.

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  • Video: How do attorneys decide which securities fraud cases to pursue?

    In this video, Jason M. Kueser discusses different factors that securities fraud attorneys consider in determining which cases to pursue.

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  • Video: How can investors review the background of a stockbroker or investment adviser?

    In this video, Jason M. Kueser discusses how investors can research the background of stockbrokers and/or financial advisors.

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  • Video: Does a defrauded consumer have a right to file a lawsuit?

    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 fraud actions. This video is provided for informational purposes only and nothing contained herein is or should be constituted as legal advice. If you have […]

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  • Video: What are the typical causes of action in securities law cases?

    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 […]

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  • Video: What is Investment Fraud?

    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 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 […]

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  • Video: What is securities fraud?

    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 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 […]

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  • FINRA Arbitration Statistics – December 2010

    The Financial Industry Regulatory Authority (FINRA) recently released its arbitration statistics for the month/year ended December 2010. For the year, there were 20% fewer cases filed (5,680 v. 7,137 in 2009) and there were 6,241 cases closed (a 37% increase over 2009). Of these cases, 22% were resolved by arbitration hearing, 52% were resolved by […]

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