As a corporation (DE or TX) the Bylaws will normally provide what information is available for inspection, as will the Texas Bus. Organizations...

Did you give him permission to contact him? Depending on the engagement agreement with the attorney, it seems the attorney is operating under a...

Exactly my practice area. A lot of threshold questions like were they a broker or investment adviser? When? How was the account mismanaged? Get...

As with all cases, the facts are key. Forman Law Firm, P. C. handles investment fraud cases as a primary part of our practice. ...

Initially you should investigate the bona fides of who you have been dealing with. Review all agreements you signed, or if you don't have copies,...

Your investment adviser is a fiduciary by statute, and can only do things in your best interest. To open a bank account, the Adviser would need...

Every broker has an affirmative duty to determine your Mother's suitability profile based on her essential facts, such as age, income, savings,...

Is It ok to use the terms 'Prospectus' and 'Investment Prospectus' for a long form marketing document?

Keep in mind that both offers and sales of securities are regulated and they must either be registered or exempt from registration. If not you...

Did the brokerage firm know there was a third party trading your account? Did the third party have a written Third Party Trading Authorization form...

My online broker was having website issues. These issues caused me to place a bad order & lose $. How can I get my money back?

Key question: was it your error, or the system's error. If it was the system's error, your order entry data was likely captured, and thus could...