Home » Archive

Articles tagged with: stock broker

[15 Mar 2011 | No Comment | 3,903 views]
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.

Share
[8 Mar 2011 | No Comment | 17,192 views]
Video: What are the typical causes of action in securities law cases?

Tweet

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 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 …

Share
[6 Mar 2011 | No Comment | 3,612 views]
Video: What is securities fraud?

Tweet

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 are subject to the Disclaimer at the bottom of the page.

Share
[31 Jul 2009 | No Comment | 1,777 views]

Tweet
From Investment Fraud Blawg, Securities Fraud Blawg, and Stockbroker Fraud Blawg:
Earlier this week, The Wall Street Journal reported that while the four major Wall Street brokerage firms experienced an outflow of $8 billion of assets in 2008, Registered Investment Advisers brought in more than $108 billion in new assets during the same period. This activity likely reflects a shift in investor preference from transaction-based broker relationships to fiduciary relationships.
Investors generally choose to have their financial affairs handled by someone they …

Share