Investment Fraud Legal Advice (54 found)

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Albert R. Hausauer Jr
Albert R. Hausauer Jr's answer
Contributor Level 2

The FBI, SEC or any other government agency cannot be counted on to recover...
Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

SEC does not file criminal charges though they can seek a civil resolution and...
Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

Given the current economic climate, you would be well advised to actually take...
Question

Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

Much depends on what you actually want to accomplish. With only 5 clients I...
Henry Daniel Lively
Henry Daniel Lively's answer
Contributor Level 7

An annuity is a contract, and you need to put together the elements that form...
Janet Lee Brewer
Janet Lee Brewer's answer
Contributor Level 7

First, contact the company where advisor #1 worked and file a formal complaint...
Question

Albert R. Hausauer Jr
Albert R. Hausauer Jr's answer
Contributor Level 2

There in nothing necessarily sinister about an Investment Advisor withdrawing...
Robert John Murillo
Robert John Murillo's answer
Contributor Level 6

You need to speak with a local business attorney. The answer depends on the...
Reed Richard Kathrein
Reed Richard Kathrein's answer
Contributor Level 3

The answer depends on the representations made to you at the time of your...
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User's answer
I assume that your "bank" has more than one platform - more than one type of...
Question

Alan James Brinkmeier
Alan James Brinkmeier's answer
Contributor Level 10

Fraud is actionable if certain elements of proof are established by the...
Pamela Koslyn
Pamela Koslyn's answer
Contributor Level 9

This sounds like a criminal matter, and something you should report to your...
Question

Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

Asset recovery may be possible. There are a lot of factors involved in...
Question

User's answer
Generally, no. FINRA, the organization that provides registration to broker,...
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Dana Howard Shultz
Best Answer: Dana Howard Shultz's answer
Contributor Level 7

I agree with my colleague's response. So many things are wrong with what...
Steven Alan Fink
Steven Alan Fink's answer
Contributor Level 7

What he is doing is illegal and violates securities laws based on your facts....
Question

Debra G. Speyer
Debra G. Speyer's answer
Contributor Level 3

You can obtain much information regarding securities arbitration from the www....
Robert Kevin Savage
Robert Kevin Savage's answer
Contributor Level 5

You definitely need to find an attorney who is familiar with this area of law...
Question

Douglas Anthony Dube
Douglas Anthony Dube's answer
Contributor Level 5

Certainly you can sue - there are very few legal impediments to suing someone....
Alan James Brinkmeier
Alan James Brinkmeier's answer
Contributor Level 10

Fraud is actionable if certain elements of proof are established by the...
Question

Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

Depends on the circumstances of the "investment." If they are offering some...
Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

This is a complex scenario and would require careful analysis before anyone...
Question

Robert John Murillo
Robert John Murillo's answer
Contributor Level 6

You need to talk to an attorney. Was this investment offering issued under a...
Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

I agree with my colleague, you are a potential party to securites fraud and...
Question

Robert Kevin Savage
Robert Kevin Savage's answer
Contributor Level 5

Hi Scott. The short answer is that you may be involved in a scam. However,...
User's answer
Welcome to the club of small "private" investors. I have been tracking a group...
Jonathan H Levy
Jonathan H Levy's answer
Contributor Level 9

There are a lot of ways to handle this situation, you really need to have...
Alan James Brinkmeier
Alan James Brinkmeier's answer
Contributor Level 10

Get an Estate and Trusts lawyer right away. Good luck. You might find...
Question

No photo
Simon S. Kogan's answer
Contributor Level 3

An arbitration should seek ro recover both realized and unrealized losses. New...
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Robert S. Banks' answer
Contributor Level 1

There are a number of recognized damages theories you can use in a FINRA...
Question

Thomas Brett Duffy
Thomas Brett Duffy's answer
Contributor Level 4

This comment is not intended to be legal advice or to form an attorney-client...

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