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One of my friends sent an "Blackmail" to my employer for the issue of outside investment (not related to the work).
Robert's answer
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Answered on September 14, 2013
If you're in the financial services industry, outside investment activity is subject to supervision. And if you're selling products without a...
Archived
I have an old gold bond that reached maturity in 1940. How do I hurry the process of redeeming said bond?
Robert's answer
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Answered on September 12, 2013
You may be waiting a long time. US Law is pretty clear on this - these bonds cannot be cashed for value in gold. If this is a corporate bond, my...
My former employer hasn't given final approval for my 401k rollover to an IRA. What recourse do I have?
Robert's answer
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Answered on September 12, 2013
Query - with whom did you file the paperwork? You should be able to go to any bank or brokerage firm and fill out the transfer forms. There...
Archived
If i gave a lawyer $xxxx for a share in an overseas ipo that has not happened yet for a year, can i get my money back.
Robert's answer
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Answered on September 11, 2013
The sale of foreign shares that are traded "over the counter" in this manner is a growing problem. The attorney likely acted as an escrow agent...
Archived
International Law - purchased goods which were insured by seller and damaged upon arrival
Robert's answer
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Answered on September 11, 2013
You are going to have to make a claim with the insurer. You should also ask the seller for compensation. If your purchase was done through a...
Archived
Should I file a wage claim?
Robert's answer
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Answered on September 09, 2013
You absolutely should file a claim with TN Dep't of Labor.
My spouse and I had a joint investment account with his name and my name with JTWROS.
Robert's answer
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Answered on September 09, 2013
I would be interested to know how the funds would be transferred. Have they suggested something called an "ACAT" or movement via DTC? Either one...
Archived
Is it illegal to invest via credit card in the investment products like bonds, preferred stocks?
Robert's answer
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Answered on September 09, 2013
There are so many things wrong about your question I don't know where to begin. First, why would an accredited investor pay with a credit card? ...
Archived
I have a dispute against my employer for back pay. In my position, I'm also privy to financial matters. I want to file a lasuit
Robert's answer
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Answered on September 07, 2013
First, you just can't file a lawsuit "under seal" sua sponte. The court has the ultimately ability to permit or deny a request for putting things...
Is it better for a licensed securities banker/broker to quit his job rather than be fired and having a ding on his U4/U5?
Robert's answer
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Answered on September 07, 2013
Your question deals primary with whether you want a "voluntary" notation on your U-5 or a termination for cause/permitted to resign. In the best...
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