A company I did business with had a mandatory arbitration clause. I filed arbitration. They ignored arbitration. Did I win?

You need to review the pre-dispute arbitration clause. Did AAA say it will proceed with the matter or no because the company did not respond? ...

How are some broker companies different in their JTWROS on stocks and JT on others? I found this out the hard way.

If I read your question to be that at brokerage firm A, you had an investment position as Joint Tenants With Rights of Survivorship, meaning that...

Can I get an arbitration thrown out?

While I agree handshakes may give an appearance of a conflict, it may not be enough to cause an award to be vacated. Also, you need to consult...

Financial Institution erroneously distributed to IRS. They were supposed to put funds into a Roth IRA. Recourse?

Not so sure a tax attorney is the person to consult with. What kind of financial institution? Your situation raises many questions to include...

Yes. Review the Florida Office of Financial Regulation website at http://www.flofr.com/StaticPages/DivisionOfConsumerFinanceFAQ.htm

Employer stalling giving stock certificates for exercised options

Is the company publicly traded? Have you contacted the transfer agent? Is there a third-party custodian of the plan? Have you contacted them? ...

Can an employer have you sign a statement that could lead to your firing?

I agree with the other answers however, do you have an employment agreement or other agreement that describes your role, etc? If so you may want...

If an investment co. tells me of an error of an overpayment & demands repayment + investment losses am I required to pay?

Would have to see the documents you have and received from the fund custodian. Pertaining to the custodian's demand, did they overpay your vesting...

Do I need to be licensed to serve as an investment banker for small mom and pop businesses.

Yes, you need to be a registered representative (Series 7) of a broker-dealer. The activity you propose, if done as a non-registered person will...

What do i need to put in my disclosure as a stock promoter?

You will need to hire counsel experienced with securities regulation. Many areas of regulation are touched when you promote and publish news and...