You will need to speak with an attorney experienced in commodities/futures regulations for further guidance specific to your product. The NFA and...

Much of this will depend on why you were barred. If you were barred for violations of the securities laws through the FINRA enforcement process,...

Commission vs stolen property

He signed the agreement, which means he read it and understands it. You should find an attorney in Hamilton County to file papers in Chancery...

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Question about series licenses?

The question becomes whether a rating service or newsletter becomes "investment advice" triggering a registration requirement. From a very...

May a LLC own in entirety a California corporation that is a real estate brokerage firm?

Remember that your LLC, wherever you incorporate, will need to be registered to conduct business in California and likely pay franchise taxes. You...

When do judgements expire? and will they stay listed as open even after it expires?

If the judgment is registered, it likely needs to be renewed under the applicable provisions of NJ law. A check of the docket will reveal if the...

The attorney likely needs to be paid for their services, and will present a closing statement to you showing your share of the funds. Settlement...

Can I received 50K usd from China and send it to my friend (for tuition purpose)?

The money transfer issues when dealing with Chinese residents are always problematic. Many immigration attorneys who work in the EB-5 space may be...

shareholder agreement needed when the equity split is not 50/50?

Your shareholder agreement not only delineates the split of stock, but also the rights of the shareholders, redemption restrictions and how...

Do I need to add more members/owners to my company, if my goal is to create a self-governing profit-sharing business unit?

Depending on the law in Vermont, you may wish to create another class of membership interests for the team which would provide for the distribution...