Yes. Refer to Broker/check on finra.org. Happy to visit. Bryan

If the account was initially in the name of the decedent, the account would have been closed upon notice of death (Letters of Probate/Testamentary)...

Short answer is "yes" you can sue an unlicensed trader. The more interesting questions are "what claims are the best claims" and the answers to...

How can I find out which area of law best represents my legal challenge?

Your CPA/Adviser is a fiduciary to you. If s/he is registered as a investment adviser, she is a fiduciary by statute and the Investment Advisers...

At the risk of stating the obvious, you should consult with an attorney experienced in pursuing regulated financial professionals. Having seen a...

Maybe. Depending on whether it was a private offering, and which exemption they relied on, you may be entitled to rescission under your state's...

What happens when I move securities from my trust into my own name?

I am not licensed in South Carolina, but first consult your PPM or governing company agreement, as transfers related to estate planning are often...

It seems you have a couple of issues to investigate. First, why is your FA putting you in private offerings for which you may not be qualified. ...

What course of action is there for my elderly parents to take who have been scammed out of $200,000. on a bogus investment?

The situation sounds like a PONZI scheme, or a simple fraud in the offer and sale of securities. In either event, your parents are at risk of...

Depends on your State's statute. Recently states have amended their relevant statutes to require financial institutions to accept certain forms of...