Resources

While BrokerCheck can be very helpful in alerting you to other customer complaints against a broker (assuming the broker properly reported them), what BrokerCheck does NOT tell you, for example, is whether the broker was ever fired from a job or if he or she filed bankruptcy.  

Tracy Pride Stoneman, Securities Arbitration Attorney

Disclaimer: BrokerCheck is by no means a complete report on all the information FINRA has about the stockbroker.


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NORTH AMERICAN SECURITIES ADMINISTRATORS ASSOCIATION

Contact State Regulators- 

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INVESTMENT ADVISER - 

Search for an Investment Adviser Firm and Individual Investment Representative currently registered with the SEC and State Securities Regulators

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INVESTMENT ADVISER DATA -

  • SEC Investment Advisers Report
  • State Investment Advisers Report
  • Investment Adviser Representative Report

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U.S. SECURITIES EXCHANGE COMMISSION 

To protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.

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FINRA SCAM METER

While there's no clear way to know, in just four questions our Scam Meter will help you tell if an investment you are thinking about might be a scam.

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PROFESSIONAL DESIGNATIONS 

FINRA’s glossary of securities industry’s professional initials for individuals and firms.

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Regulatory Agencies

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Regulatory Compliance

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Contact Ms. Stoneman - Stoneman Law Offices - Texas & Colorado. (800) 783-0748 Free Consultation - Representing Clients Nationwide

DID YOU KNOW AND SECURITIES IN THE NEWS!

KANSAS

 

Since Kansas borders Colorado and I live in Colorado, I am more familiar with its securities laws and regulations and Kansas arbitrators. Because arbitrators are from the state or region where the investor resides, my familiarity with the arbitrator roster and individual arbitrators in Kansas and surrounding states is a significant benefit. And remember that I do not need to be licensed in the state of Kansas in order to represent Kansas investors in securities arbitrations. I don’t even need to affiliate with local counsel.  I also have the benefit of the knowledge of my husband Douglas Schulz (www.securitiesexpert.com), who has been hired in over 1,140 securities related matters and testified in over 637 FINRA arbitrations and civil cases regarding investment and brokerage disputes. Because the majority of his expert work is also in Colorado and surrounding states, he too is very familiar with Kansas securities arbitrators and arbitrations. 

Many clients who contact Stoneman Law are ashamed that they are unable to read their monthly statements.  They often find them confusing and do not understand all of the terms on the statements.  Stoneman Law says not to worry; if anything, this fact may make your case stronger.  The reason is that stockbrokers are required to KNOW the essential facts about their customers – it’s FINRA Rule 2090, referred to as the Know Your Customer Rule!! 

Investors in Kansas are protected by legislative laws and statutes together with industry rules that prohibit brokers from engaging in fraud, unsuitable sales, churning, unauthorized trading, failure to supervise, breach of fiduciary duty, or negligence. Below are useful links and resources covering some of the investor protections available in the State of Kansas:

 

  • Office of the Securities Commissioner (link is http://www.ksc.ks.gov/ ) is a division of the Kansas Insurance Department.  It regulates securities in Kansas.  The mission of the Office of the Kansas Securities Commissioner (KSC) is to protect and inform Kansas investors; to promote integrity, fairness, and full disclosure in financial services; and to foster capital formation.

Stoneman Law represents investors in all major Kansas cities including Wichita, Overland Park, Kansas City, Olathe, Topeka, Lawrence, Shawnee, Manhattan, Lenexa, and Salina. Our consultations are free of charge and the firm is only compensated if you recover.

 

Where Do FINRA Arbitrations Take Place in Kansas?

All arbitrations for Kansas residents take place in Wichita.

And remember that arbitrations take place in the state where the investor resides, NOT where the brokerage firm or stockbroker office!!

 

Kansas Securities News

 

Back in 2010, Governor Mark Parkinson signed legislation into law that nearly tripled the criminal penalties for securities law violations in Kansas. Under the new law, prison sentences can be as much as 30 years. The new law was necessary to contend with an increasing number of cases in which losses exceeded $1 million. At the time, general counsel for the Kansas Securities Commissioner's office said, "Victims have long been frustrated by the relatively light sentences for securities fraud…We are extremely pleased to see this crime punished more harshly."