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Provided wrong instructions opening a stretch IRA by new financial planner. Now will have a $30,000 tax liability. Recourse?
Jon's answer
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Answered on June 04, 2015
Yes, you very well could have a claim against the broker who gave you the bad tax advice and his/her brokerage firm - especially if the bad tax...
What are my chances of winning a law suit for recouping money lost via a financial consultant on my Annuity?
Jon's answer
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Answered on February 27, 2015
I agreed with the previous responders: It sounds like you have a claim. And based on the very limited set of facts you provided, it sounds like you...
How do I obtain a copy of my u5 from a broker that I left 8 years ago?
Jon's answer
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Answered on January 24, 2015
I am not sure if you will be able to find an actual “hard copy” of your Form U-5. NASD n/k/a FINRA created the Web CRD program back in 199, which...
How long am I liable to "clawback" money I have received from a Ponzi scam
Jon's answer
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Answered on October 27, 2014
This question is a little confusing. The term "clawback" is usually used to refer to efforts to recover investors' money by a receiver or trustee...
Would an Investment Club be an accredited Investor in respects to equity crowdfunding investment laws ?
Jon's answer
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Answered on October 05, 2014
Determining whether a person or entity is an “accredited investor” for purposes of the SEC’s rules depends on that investor's particular...
