IPO purchase opportunity is denied by the stock broker

Dear Sir or Madam, Do you have any damages? Has the stock started trading? Is it trading higher than the buy in price? Generally, for a...

Whether or not this constitutes forgery, it would be against the industry rules if your advisor was a registered representative registered with...

What to do If I have reason to suspect that an attorney took settlement monies and did not distribute it to the plaintiff,

Your posting was not clear on what your role was in the transaction. The other answers were good and covered most of what I would have written....

Mom got conned

What did your mother think that she was getting? Was this an investment of any sort? If it was and the person selling the investment or the...

Reg D offering

One thing that was not covered was did you have the correct documents for your filing. Did you provide the investors with an Operating Agreement...

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What do I need to do

Dear Sir or Madam, I think that by operation of law the assets belong to you. I think that any agreement to the contrary is potentially void as...

My mother just found out she has stocks and bonds that she never knew about, how do i find out were they were issued from.

You need to check with the state officer in charge of "unclaimed property." Usually, that is the Treasurer or Comptroller. You need to act quickly...

Do I need to open another LLC or can I run another company under my current LLC?

Just because you could do so does not mean that you should however. You do not want to jeopardize one business based on activity of the others....

I suffered stock losses while trading with TD Ameritrade by unknowingly trading on margin. Can I recover any of this loss?

Dear Sir or Madam, It is possible that the Customer Agreement that you signed had a margin section and was not separate from the ordinary...

If i get terminated for cause as a Life insu agent, but am also licencend series 7, will i also lose my ability to sell stocks

Dear Sir or Madam, It is impossible to answer this question because you do not provide any description about what the "cause" may be. However,...