Could a deferred judgment (later dismissed) to a M1 fraud/theft charge prevent someone from obtaining FINRA licensing or CFA?

Question 14(B)(1) of Form U4 specifically asks the question as to whether you've been charged with fraud as a misdemeanor, among other things. ...

Can I consult with other parties lawyer?

The situation is not good for either you or the lawyer with whom you wish to speak. If you need to find an attorney, the Wyoming Bar Association...

Can I be removed as a defendant in a securities fraud case?

Welcome to the wonderful of "aiding and abetting." While you may not have had direct, actual involvement in the wrongful acts, you may well have...

Can a broker be sued for taking no action with my investment when they should have?

Getting a case like this through FINRA arbitration will be difficult, given that there is essentially what attorneys call a "statute of repose" of...

The man who as managing my money & lost it all. had him arrested, and is currently being investigated by, the SEC

I am sorry to hear about your loss. As is customary, the SEC will institute some sort of proceeding to compel restitution, but if he's in jail and...

How do I recover my money from joint account with my nephew who refuse to give back and used it for his own gain.over$600,000

You may have various civil causes of action for fraud, conversion, etc. However, one thing to note is that you have not stated if the money was...

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I am a board member and vp of a 501c3. Am I liable for mishandling of funds by the CEO.

You may not be directly involved with the wrongful acts themselves, but as a BOD member you likely had oversight duties, annual reviews, etc. that...

You can certainly utilize a PPM for your stock offering and, depending on the circumstances, you should. The main reason you may want a PPM is to...

What are my rights to recoup an equity investment and is this securities fraud?

Given the limited facts you've provided, you may well have a cause of action. The question is "how do you collect?" In speaking with a securities...

The amount of money to start an investment to get green card?

If you're looking to do an EB-5 investment, you will not only need an immigration attorney but also a securities attorney to assist in your review...