Is Lawyer allowed to raise his fee without notifying the client until they get the bill?

Also if there's a dispute over the fee, consult your retainer agreement concerning fee disputes. often retainer agreements are bound to fee...

Possible agent soliciting other agents in Brokerage to leave with her.

Agreed with the above. What kind of brokerage, what industry? Regarding the "raiding" claim in the securities business, though there are not many...

Private offering of exempted securities- NJ

The above link is helpful otherwise either contact the Bureau of Securities 973-504-3600 / 866-446-8378 or contact a securities attorney...

How binding are the representations in an investment offering?

The question, unfortunately, is lacking sufficient facts to give an appropriate answer however, in general, if statements are enough to cause an...

Can I sue my financial professional and investment company for sharing my personal financial information with others?

The broker-dealer has a privacy policy and it is most likely posted on its website. It sounds like a breach of contract and breach of the privacy...

1. Gather all your documents: (a) correspondence, emails and texts, (b) purchase records, (c) bank records, and (d) any information or documents...

How I do get back my retirement money when an investment advisor put my 401k funds into his own funds?

Hard to say given the limited facts and without reviewing the agreement but the investment advisor most probably is not permitted to commingle your...

Is it a violation of SEC Regulations for a consultant to collect a commission on VC or PE Fund investment in client's company?

I recently had a prospective client ask me a similar question. He wanted to structure a situation whereby he could earn a percentage of the monies...

What type of attorney is needed to settle a fraudulent investment case?

All good answers above. The attorney of your choice should be experienced in either securities litigation or securities arbitration, depending on...

Why do i have to sign a arbitration in order to fill out a job application for murphy usa

In the securities industry all employment disputes with the brokerage firm are bound to arbitration before the Financial Industry Regulatory...