Archived
Can I advertise for investors , "whole loan notes" secured by hard assets without breaking any securities laws / regs?
Robert's answer
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Answered on November 09, 2013
Whose notes are they and how are you getting paid? These are among the many questions an attorney will have to ask you. And to echo my colleagues...
Archived
I would like to start an incubator hedge fund. How much are the legal fees to start up and cost of running?
Robert's answer
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Answered on November 07, 2013
Putting a hedge fund together in a manner that protects you and your investors is not a task to be taken lightly. In working with clients who...
Archived
Do I need a series 65 or other SEC license?
Robert's answer
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Answered on November 05, 2013
I concur with my colleague here in that you need to sit down with an attorney to discuss how to proceed. The issue from what you've provided here...
Archived
Raising a private equity fund under 506(b) or 506(c)?
Robert's answer
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Answered on November 05, 2013
I think you've asked similar questions before on AVVO. The answer is the same -- sit down with an attorney to put your fund together. Doing...
Archived
I made a false statement to the police officer in 2005 and plead guilty on Jan. 2007. Will I still be able to work as a broker?
Robert's answer
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Answered on November 05, 2013
You will have to go through the Form U4 to ascertain whether you were charged with something that requires disclosure, and then deal with the...
Archived
Do I need any sort of certification to provide forex signals for a monthly fee to customers?
Robert's answer
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Answered on November 05, 2013
As you may know, forex activity is now covered by the Commodities Exchange Act by way of Dodd-Frank reforms. You may need to register or seek...
Archived
Statute of limitations with investments in Tennessee
Robert's answer
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Answered on November 05, 2013
A tough question to answer without more detail. Namely, you say the investment was "made in Tennessee" but exactly where was the investment...
Archived
Is it a crime to invest other peoples money if you dont have a license or certification?
Robert's answer
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Answered on November 02, 2013
Contact the South Carolina Securities Commission and the Attorney General's office to file a complaint. ...
Archived
Would I put myself at legal risk if I reported that my ex has committed insurance fraud since 2004 and I knew about it?
Robert's answer
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Answered on October 27, 2013
If federal or state laws are involved where either the US Gov't or TN was defrauded of funds because of this, you may be able to avail yourself of...
Archived
Is it illegal to retaliate against an "anonymous" reporting of a Code of Ethics violation? Bank fraud.
Robert's answer
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Answered on October 27, 2013
The notation of you not being "bondable" or the like could well be defamatory given the context of the facts you've provided. Notwithstanding...
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