If a Financial Advisor of a major bank neglected to make an agreed upon trade, what is he/bank liable for (see details)?

Was your account already open at the firm? Usually, putting in a trade does not include the signing of forms and submitting them. How did the FA...

How do I find out how to sell it or if it's even worth anything?

If the company is public, call the investor relations department.

How do I deal with an AZCC investigation for possible violations of the Securities Act or Investment Management Act of Arizona?

You should retain competent counsel who specializes in the area of securities law. The AZCC has attorneys that work for it. You should too! Often,...

Selected as the best answer

When you say surrender your license, do you mean let it lapse or surrendering as part of a disciplinary case? Either way, I believe the answer is...

C.F.R. stands for Code of Federal Regulations. Essentially, the regulations interpret the U.S. Code or statutes.

Can the company deduct wages earned from the award while off due to the termination?

What state are you and your employer in? What did the award say? I think that you need to supply more facts.

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

Most firms in their customer agreements have a representation that the person opening the account or whose money this is of legal age. I imagine...

How do I get stocks out of my sisters name?

It is my understanding that it is too late to do anything. Elder law usually requires advance planning.

I have corporate questions

Minority status might be determined by state or local law. I do not believe in Illinois that one who is a convicted felon counts as a minority like...

What type of lawyer? What kind of buisness or copyright do I need?

Adding investors makes this a securities issue. You need experienced counsel who can help you avoid regulatory problems and draft the necessary...