You should hire a securities attorney. The unauthorized trading claim where the trades were executed without discretionary trading authority is a...

Often, having a client speak is a mistake at an arbitration. I am not sure if your attorney was unprepared or felt that your points were of no...

Сrowdfunding investment more than $4M

True crowd-funding, i.e., taking small amounts of money from average investors online, was passed by Congress but the SEC regulations have not been...

Dear Sir or Madam, What sort of license does your friend have? What sort of paperwork did you sign? If either was not done correctly, your...

I won my arbitration..but now I need to file award judgement?

Whether it is a state or federal case, the usual procedure is to confirm the arbitration award in court. That will turn the arbitration award into...

What are the grounds that the arbitration board shall vacate their own decision, without any party to go court to motion/petitio

I doubt that the arbitrators would vacate their own decision unless you had evidence of something like paying a witness for testimony. After, all...

Non traded Life Settlements investment/ponzi scheme

How was the investment structured? Was there an entity that you invested in? Was the "adviser" working for a federal or state registered...

Legal action was taken by me through FINRA against a brokerage firm. Results: Claim denied. Is there anything else I can do ?

I have represented scores of parties in FINRA arbitrations both investors and claimants and respondents (broker-dealers and stockbrokers) as a...

Dear Sir or Madam, If you can afford to forego the unemployment compensation, it would probably be helpful to have voluntary termination on your...

FRAUD - I invested quite a bit of money in a company and now they are refusing to refund my money. Please see details below.

Dear Sir or Madam, You will need to hire a securities attorney to represent you. It is not clear in your fact pattern whether or not you...