Merely losing money is not a claim you can make. If you have losses of that nature you should consult with an attorney experienced in securities...

What are the filing requirements to California/SEC of Dividends in a Co Op?

Your question requires an extensive consultation and suggest you look up an attorney experienced with SEC and state securities regulatory filings.

How do I start a SEC registered investment advisor? (RIA)

Are you new to the business or a registered representative / investment adviser rep with an existing book? You'll need the Series 65 or 66...

How will my expunged criminal record affect my employment eligibility in financial services industry?

When it comes to expunged records and applying to a securities broker-dealer, a lot of attorneys, unfortunately give the wrong advice. Many will...

Can you trade stocks soon after your discharge? What about the 180 day time period?

Your question requires more information. Trading the stock of the company you were discharged from? What 180 day period are you referring to? ...

How to present business idea, not run afoul of securities laws?

An important consideration is how you found the investor. Are soliciting for investors or is this person prior known to you?

You should not do. What's a life insurance policy on a joint checking account?

My wife's company stock options expired, what should we do

Based on my experience with employee stock option cases, you absolutely should have your documents reviewed by an attorney experienced in...

I have some Series EE savings bonds and they belong to my late uncle how can I have them cashed

go to treasurydirect.gov. If you have the paper bonds you should be able to take to any bank to redeem.

If I have an exemplified copy of an AAA award from CA court, do I need it confirmed?

Will the GA court have jurisdiction over the respondents in the arbitration to confirm the award in GA? Were you represented by counsel in the AAA...