Is a financial services broker required to turn over client files requested in a Request for Production of Documents?

Yes. If you're in arbitration (would be surprised if you're not), the FINRA Code of Arbitration Procedure applies, as well as the FINRA...

S-Corp in Wyoming develops software for a Utah company. Does the s-corp need to pay Utah taxes?

More details to your question are required. Is the main office of the company in Utah or Wyoming? Are they on work premises of the corporation...

I recently interviewed for a position as a Financial Advisor. Part of the process of employment requires a securities license.

FINRA and the SEC are required to ask these questions and do so on Form U4. Those regulation are also adopted in part by California's securities...

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Am I required to report the possibility of illegal insider trading to the SEC?

First, do not discuss this matter on a public website. Second, from the scenario that you've given, the NDA is pointless. Third, insider trading...

Can I sue an online binary trading options website for refusal to distribute profits won on their website?

Binary options contracts are illegal in the US and not approved by the CFTC or NFA. This means you likely purchased the options in an overseas...

From the sounds of it, your "25,000" may not have ever existed. You'd be hard pressed to argue that you're entitled to anything more than your...

What type of attorney can help for investment loss?

As an investor and member of the LLC, you likely have rights to demand inspection of the books and records of the company, as well as to seek an...

I won a settlement while incarcerated in 2011 & my attorney took the whole check for $22,500. Then he died!

You're going to need to either sue this attorney's estate for the money and work with the BOPR in getting relief from their fund.

Can private settlement be negotiated with a member of FINRA without filing a formal complaint with FINRA?

Depending on the nature of the complaint, the financial advisor will likely have to disclose any settlement or complaint on their Form U4 whether...

Is there anything to be done about harassment when it is international? Is it possible to sue or press charges against a minor?

Getting to the root of this will likely require a private investigator who can actually figure out who this person is. And once you do that, you...