Archived
Financial Consultant made unauthorized changes, and did not make other changes as discussed with inheritance, now say I owe them
Robert's answer
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Answered on August 24, 2013
You've got a host of issues that will need to be discussed with a securities attorney who handles FINRA matters. Unauthorized trades are of course...
Archived
Can a firm/broker dealer, that I no longer work for, use my name on their statements (as though I still were at that firm)?
Robert's answer
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Answered on August 24, 2013
They cannot. They are obligated under FINRA rules to update the account information to reflect the change in the RR handling the account. What...
Archived
Is an employee able to invest company funds on behalf of the company without an SEC license?
Robert's answer
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Answered on August 24, 2013
You're going to need an attorney to handle this, as there are issues as to whether the "desks" may really be deemed proprietary or not. In the...
Archived
I live in California and am investing in a start up LLC in Nevada as a silent partner.
Robert's answer
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Answered on August 24, 2013
The CA tax laws are always tricky for out-of-state LLCs who want California investors. I am not admitted in CA, but I always instruct people...
Archived
How to bring money into the US for investing?
Robert's answer
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Answered on August 18, 2013
You not only need a lawyer but an accountant to assist with the tax implications. There is of course also the small matter of actually selling...
Archived
I been scammed, looking for Attorney
Robert's answer
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Answered on August 14, 2013
If you haven't already, file a complaint with PayPal for a refund of your money. They have an on-line section called "Resolution Center" for such...
Archived
How would you help and till what extent you may be help to us?
Robert's answer
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Answered on August 14, 2013
You should post your questions to the immigration section of AVVO. There are many good immigration attorneys here on AVVO, and my colleague here...
Archived
SOL tolling : In general if an insurance broker diverts a clients premiums and in doing so commits embezzlement
Robert's answer
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Answered on August 14, 2013
In the financial services context, tolling is generally applied when a fraud is concealed and cannot be reasonably detected. You may well have...
Archived
FRAUD - I invested quite a bit of money in a company and now they are refusing to refund my money. Please see details below.
Robert's answer
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Answered on August 12, 2013
You will need a securities attorney to review your offering documents and communications with the issuer and/or the broker. Depending on how the...
Archived
When suing someone, how is it possible to ensure they don't take all their property out of their name when they find out
Robert's answer
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Answered on August 10, 2013
If you're in a NY court, there are provisions under the CPLR for pre-judgment attachment that require affirmative proof that the defendant is...
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