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

What is your phone # ? ?

Yes. It is almost all that I do, and have done for the last 15 years. Bryan 903 597-2221

How can an elderly widow get an investment return back from a deal from friend?

Your case may be significantly better or worse depending on the employment of the borrower. I would like to know his professional status. Also if...

I would like to get my stock options grant documents reviewed.

I would first identify your key questions, and if your relationship with the Company is solid and there is no consequence to disclosing your...

I assume you have reviewed the various rules and guidance offered by FINRA. Under Rule 2080 there are certain requirements that must be present...

Financial Adviser takes advantage of senior citizen in selling $40,000 in business development center investments

Your senior citizen has a claim. Intent is not the key but whether the advisor complied with certain duties. With regard to legal fees there are...

Own life insurance policies. It generates dividends held by ComputerShare. Our insurance agent, contacted it and withdrew $50k.

Not necessarily. Depending on the facts, the transfer may be characterized as an Electronic Funds Transfer which would be governed by the EFTA, or...

Can finra or sec deny the registration application without a Felony conviction?

Yes. Question 14 of the Form U-4 asks if you have been "charged" with a felony. Thus, your answer is "yes." Also, depending on your acquittal...

This is likely an arbitration case before FINRA or another forum dictated by the underlying account agreements. The nuances of the investment...

What you are doing, if done correctly, is perfectly fine. If done incorrectly, you risk your relationship with your family member, potential...