Would we need to be registered with the SEC as a broker/dealer

Good question but you probably won't be able to get a written legal opinion through this forum. To cover your business you would be best served...

What filing/forms do I need to do to make it official?

It depends on which state the entity was incorporated in. Depending on the nature of your entity typically there would be some document,...

Registration exemption is not also an exemption from all SEC rules for investment advisers. You still have to comply with the '40 Act and all the...

All depends on structure, ownership, and duties and responsibilities of the "partners." Additionally, how did these "partners" come about? Best...

Normally you do not "redeem" stock certificates. It is an evidence of ownership in a company. If it is publicly traded, there might be value. ...

Is it legal to have someone give you money to invest for them if your not a licensed broker?

Need more facts. Why are they giving money to you? Did you solicit them? Are you getting compensated? How will the title on the brokerage...

Can a company waive there mandatory right to a Arbitration hearing? After the employee was fired and obtain a letter to sue.

The arbitration clause should be the first place to look.

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Consultant - Accepting stock options

Is the company publicly traded? By signing the agreement is the intent to give you equity ownership in lieu of stock options? Stock options...

I am a contractor I won arbitration, how do I go about collecting what is owed to me. What paper work do I need to file?

You need to confirm the arbitration award in court in order to enforce it as a judgment.

The problem is many reps either don't know what they're selling or conveniently leave out those key facts hoping to protect themselves by having...