Can I secure investment funding for a marijuana business in a state before it is legalized?

There are several components here. First is funding for any venture, which will require compliance with state and SEC rules. Second is for a...

Brokerage account when stay in sibling broker dealer

If your family member is associated with a broker-dealer, THEY will have a reporting requirement, which may involve at least reporting the identity...

Is a broker changing signature papers from ownership to jt. ten-common on an account with 2 owners with WROS, , illegal ?

Broker coercion is misconduct. Also taking advantage of customers with diminished capacity is also misconduct. In my experience, if the broker...

Is it legal for a financial services firm to have a safe and boxes full of guns and ammo?

I am unaware of any financial services regulation prohibiting that.

How are leveraged etn products such as velocityshares uwti freely marketed and sold to unsophisticated investors?

You may not get correlation if you hold for more than one day. Also, is your account self-directed or broker-advised? That makes an important...

When you say "membership" did you operate a broker-dealer or are you saying that you personally are barred from FINRA? In my experience handling...

Can a tenant-in-common brokerage account be split unequally?

Disbursement should be made according to the brokerage's TIC agreement the accountholders would have completed at account opening. If not ask for...

How do I get stocks out of my sisters name?

I believe this would be a question for an attorney practicing Elder Law.

I lost about $180,000 by trading stocks for the past year(also my first year trading stocks), can I get some back?

It all depends on the nature of the relationship between you and your financial advisor. If your account was self-directed and with an online...

Is it legal for a minor to trade binary options under their guardian's name?

In addition to the scam concern, minors cannot manage their own account.