Unless a security is in "bearer" form you cannot take possession and therefore ownership of them without the current owner assigning them to you by...

I want to know if i would be considered a real estate investment trust and would i be considered a investment advisor? im starti

There are specific requirements to be called a REIT. Generally what you describe is a fund of some sort all depending on the makeup and number of...

In my experience financial advisors often sell annuities that they either do not fully understand or that they fail to disclose the real truths...

Is my online broker responsible for losses from dropping stock values when they freeze my account?

Arbitration will be your only recourse against TD. In this situation complaining to a regulator may not yield any results. In my experience,...

My question: "Does an Arbitrator Attorney have a special degree; or can any Legal Attorney be an Arbitrator?

In securities arbitration any attorney can be an arbitrator.

Retaining counsel is highly recommended. Counsel for the broker-dealer will relish pro se broker respondents. Though FINRA arbitration lacks the...

Thinks, for example, I would look at are the account applications you completed, agreements signed, disclosures given and signed, any illustrations...

Curious to AVVO how this appeared under Financial Markets and Services section. More appropriate under Bankruptcy and/or Real Estate, to which I...

Stock sale for TN corporation, buyer in MO, MO trying to say buyer was incompetant at the time of sale. Is TN Juristiction?

Person is saying buyer is competent regarding what? Further examination of the contract and how and where the contract was executed may be needed.

Can I appeal a civil arbitration decision? If so, how?

You'll need to consult with an attorney. Generally an arbitration decision may be vacated under very narrowly construed requirements. Also, there...