Chicago, IL
Financial markets and services Lawyer at Chicago, IL
Practice Areas: Financial Markets and Services, Securities & Investment Fraud ... +3 more
The statute of limitations vary by state and claim. When did your mother in law discover the loss? When did your grandmother in law discover the...
Do you have an address on this person? If you are going to sue him, you would need to send the complaint and have him served. If you are unable to...
Your question is a bit confusing. Are you seeking to advise pensions on investments therein? In that case you as an individual would need a...
Your question leaves out many important details. If you have/had an account with a broker-dealer, then you likely have to arbitrate before FINRA. ...
Your story is all too common unfortunately. The problem that are likely to have is locating the promoter or obtaining jurisdiction over him. The...
It does not matter that the LLC has new owners. The LLC is responsible for its past violations that occurred before the ownership change.
If you had an account with a broker-dealer, then you likely signed a customer agreement that requires arbitration. FINRA administers those...
Do you have a Series7? I doubt the Regulation D offering is structured as an S-Corp but that would bring other requirements. The short answer is...
The bond could be sold to satisfy any liquidity concerns. There would not likely be any penalty. There could be a commission or markdown for a...
You are asking a securities law question. It appears in the wrong areas of the law. Filing a Form ADV with the states or SEC is very fact intensive...
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