Securities Fraud

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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: 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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  • New Leveraged ETFs Hit The Market — Investors Beware

    Leveraged ETFs have recently returned to the news as Direxion announced the release of two new funds. As reported on Marketwatch.com, one of these new funds seeks to obtain returns equal to 300% of the two-year Treasury yield, while the other fund seeks to obtain returns equal to 300% of the inverse return of the […]

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  • 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% […]

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