Finra - Rule 2111 is a fact intensive inquiry that focuses on an investors liquidity. Among the documents I would want to examine are the new...

Civil Litigation would be the area to address the settlement regarding the default judgment against you from the credit card company. File a motion...

I need to know what an author rise share is, the question is ,the number of shares the corporation is authorized to issue ?

Generally, the answere to this question depends on your plans for the Company. I you are planning on accessing the public markets. If you are,...

What sec form would i need to offer securities to the general public on my companies peer to peer startup site?

depending on how much you are raising and in what states you are looking to offer the notes there are simply too many possible ways to structure...

Generally, once you purge the 8210 violation you can get reinstated. 8210 requests, however, are generally copied to the firm's compliance...

While it is true that FINRA will want to know what is involved, if the felony does not involve fraud, money laundering or theft, my guess is that...

Am I eligible to receive "penalty" shares of restricted stock sold under Rule 144 b

While Mr. Scott is generally correct, the liability for penalty shares arises from the delay in the filing of the registration statement. Thus,...

Right to inspect corporate books as a shareholder?

The general answer is yes you have the right to inspect. That right is subject to notice requirement and may be limited by the bylaws. Before...

How long do you take to respond to a client?

I try to get back to theclient on the same daybut six days is a bit much and it seems like the attorney does not want the business.

Securities issues. A case will be reopened. Part of the issues are in the bankruptcy case and part are securitites law

Any lawyer would need more info to provide a quote. Is the corporation the debtor in bankruptcy. What is the motion for? Insider trading claims...