Need advice on Form ADV

Whether you need to file Form ADV is dependent on a number of factors, including the nature of your business and also how much may be deemed to be...

Need advice on private equity fund setup

I believe this is the third time you've asked this question regarding the India/US fund formation issues. In short, every depends on the people...

I have a corporation that owns stock in a public company. The shares were deposited with a brokerage firm.

Your fact pattern is hard to discern, but the first issue you have is a statute of limitations issue based on the 2007 "ask" date. That's close to...

This has to do with professional negligence.

You may very well have a case, but be aware that the biggest hurdle in winning one of these things will be your ability to prove that a call was...

The nomenclature you describe will be determinative as to what you can do. An RIA undertakes fiduciary duties under the Investment Advisers Act. ...

An award under the Federal Arbitration Act has to be confirmed in a court of competent jurisdiction. Is a judge in the case also an arbitrator? ...

Should your wealth management person go into a law suit where he was part of the reason for the law suit ?

I believe this is at least the second time you've asked a question with this fact pattern. I'm not entirely sure what kind of mediation this was...

In piecing your narrative together, it sounds like you've located escheated property that is held by the State of NY in the name of your mother. ...

I am a broker who is going to represent a group of investors pooling their $$ together to purchase a property.

You have a lot of moving parts here that will require the assistance of counsel. The pooling of money as you have described could trigger...

Verbal agreement with a venture capital company to be paid a finders fee - they are trying to circumvent and go direct

I have handled finders fees disputes in the past and they are always tricky matters given that neither party usually seems to have an attorney...