Featured

  • 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 […]

    Read More
  • 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, […]

    Read More
  • FINRA Securities Arbitration Statistics – February 2011

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

    Read More
  • 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.

    Read More
  • 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 […]

    Read More
  • 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 […]

    Read More
  • 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 […]

    Read More
  • FINRA Securities Arbitration Statistics – December 2009

    From SecuritiesArbitrationBlawg.com: FINRA recently reported its December 2009 arbitration statistics. For the year ended December 31, 2009, 7,137 claims had been filed. This represents an increase of 43% as compared to the number of cases filed in 2008 (4,982). The average turnaround time for cases that go to an arbitration hearing has declined by 11% […]

    Read More
  • Leveraged and Inverse ETFs May Not Be Suitable For All Investors

    ProFunds Group, one of the largest issuers of leveraged and inverse ETFs recently issued a warning that some of its leveraged and inverse ETFs may not be suitable for all investors. In the prospectus dated October 1, 2009, the company repeatedly states: The Fund is different from most exchangetraded funds in that it seeks leveraged […]

    Read More
  • Securities Arbitration Claims Rise by 65% from 2008

    From SecuritiesArbitrationBlawg.com: Helen Kearney, of bankinvestmentconsultant.com recently reported that as of August 2009, more arbitration claims had been filed than in all of 2009. Although there was a slight downturn in the number of claims filed in August, it is unclear whether this trend will continue. In large part, the number of claims will likely […]

    Read More
  • Page 1 of 2
Call Today For a Free Consultation: (816) 374-5865 Contact Us