Do I need to become a Registered Investment Advisor to open up a holding limited liability company?

Your question raises regulatory issues both in the structure of your business and the offering of the security to prospective investors. Before...

Best agency to report reprehensible financial advisor/broker to?

Your forum is most likely going to be FINRA. When a brokerage account is opened with the broker, the account holder enters into an account...

In what state should I hire a lawyer to collect a 40K debt? My corp. is in IL. Their LLC is in CO but the owner lives in IL.

Illinois courts likely have jurisdiction because you have worked with the owner only in Illinois. Colorado Courts would also have jurisdiction...

You do need to speak with an attorney familiar with financial and securities litigation including arbitration. Your posting mentions that the...

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I need some legal advice

You are correct that you are owed a part of the business. It sounds like the partnership has ended. This should result in a dissolution of the...

What rights do we have to fight back since all of our income has been stripped of us? Are there "pro-bono" lawyers that do this

I gather from your question that our husband is a shareholder of an Illinois corporation. His legal rights will be determined by a shareholder...

I disagree with those who believe you do not have to disclose the arrest. I have represented brokers who FINRA has disciplined for failure to...

Stockbroker coerced 92 year old to make me sign a paper that I did not want to sign. I had DPA of his estate.

You should speak to an attorney without delay. Your description of the problem indicates possible financial abuse of the elderly, broker...

The court made the final decision on January the 14th as of Feb 21 still no answer six weeks later, is this normal.

You can go to the Clerk's office and ask to see the file to determine the current status of the case. You mention that the money was in an IRA. ...

How can I sue/go into arbitration to recover $ 46,000 lost in my IRA Act. & $20,000 in a regular Act. during the year 2013

You may be able to file a statement of claim with FINRA. Your post indicates you are from New York. A FINRA arbitration would take place in the...