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  • 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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  • 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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  • Securities Arbitration In the News – Could Arbitration Help You Recover Investment Losses?

    From SecuritiesArbitrationBlawg.com: US News & World Report published an article today written by Rob Silverblatt. The article was entitled “Could Arbitration Help You Recover Investment Losses.” The author interviewed several attorneys who practice in the area (unfortunately, the author of this blog was not one of them) and discussed patterns and trends in securities arbitration […]

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