Would like to know how to go about getting monies back on investment.

A convertible promissory note is a security. As a security it should be registered in the State it was sold. You can check if this security was...

Can I recover money from Etrade which I lost because Etrade didn't allow me to sell the shares I needed to?

Based on the information provided in your question, it appears that the insufficient funds would have been in respect to the short position in NFLX...

Do we need a lawyer to recoup our $200,000.?

YES. You should get an attorney. Your post suggests that the broker-dealer that employed the financial advisor has discovered wrong doing. The...

• Do I have any type of recourse in a matter like this? • There is plenty of evidence that his recklessness created this issue

It is unfortunate that your former partner damaged your reputation. depending on what has occurred it may be possible to mitigate some of the...

Given my "Details," may I pursue such an endeavor without securing any licenses or registering with the SEC or Texas?

The Investment Advisor Act of 1940 provides that an investment advisor is anyone who receives compensation, engages in the business of advising...

Your question did not specify the arbitration forum that you were arbitrating in. However, typically, arbitration awards are rendered quickly. On...

Investing with financial advisor

There are two things that you can do to safe guard yourself from most fraud. You should check his license and the registration of the investment. ...

I believe I was a victim of a ponzi scheme. What route do I take from here? What kind of attorney do i need?

You should speak to an attorney with experience handling loses resulting from a Ponzi scheme. It is important that you hire competent counsel to...

I think I'm a victim of a Ponzi scheme. How would I go about reporting this individual?

You should contact an attorney experienced in securities/investment law. There are time limitations on when you can bring a claim, so it is best...

What is the difference between a 1933 Act Registration and a 1934 Act registration?

I would strongly suggest you do neither, nor anything else, in regards to selling securities in your business until you speak with an attorney...

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