Can I sue AIG for the stock losses I suffered in 2008?

Dear Sir or Madam, The question that you asked is actually very complex and would require a longer explanation than is possible here. However,...

BEING SUED BY THE SEC FOR A CRIME MY EMPLOYERS COMMITTED

Dear Sir or Madam, While I am not licensed in New York, I handle a great variety of securities related matters. It occurs to me that you may...

Dear Sir or Madam: Was the Form U-5 amended 14 months after you left the firm? Generally, you are supposed to receive a copy when it is filed,...

Am I liable to pay back?

Dear Sir or Madam, I too am not licensed in California. I have a different take on the answer by the other two attorneys, and ultimately leads...

During the down turn in the market in 2009, I asked my investment adviser to take us to cash. He said, "no that would be the

Dear Sir or Madam, It seems to me that the operative question is whether the adviser had discretion to make trades in your account. Even then,...

Do I need to be registered as a Investment advisor?

Pat, You need to be registered. Dodd-Frank took away the so called "deminimis exception" that was very helpful to people starting off such as...

Is defeered annuities breakable

Generally, these products are governed by the contact. You may be able to get out early, if you pay a penalty. That too should be spelled out in...