My question is, I entrusted my entire savings to a paralegal with the intent of investing my 401(k) into small stocks and bonds.

There's a technical term for this - theft. File a complaint TODAY with your county District Attorney and the CA Dep't of Business Oversight,...

If I run a small commodities exchange and want to offer margin, do I need a license?

You are looking to run the equivalent of a Futures Commodities Merchant or its Forex equivalent. The CFTC in conjunction with the NFA have net...

What are the filing requirements to California/SEC of Dividends in a Co Op?

Much will depend of course on how much you want to raise and where your investors are located. If you stick to people within California only,...

Issuing Free Trading Stock

Technically, 144 stock isn't "free trading" until the restrictions are lifted. In some instances, convertible notes, options and warrants are...

Market losses are generally not recoverable absent misconduct, negligence or fraud. That being said, there are many hedge fund managers out there...

How do I start a SEC registered investment advisor? (RIA)

Much will depend on whether you are "state" registered or "federally" registered. This is relatively complex, but in short if believe you won't...

Financial sector lawyer

If you are looking to be employed in the securities industry, you will have an obligation to disclose this event on your Form U4 whether or not it...

Raising Capital for Real Estate - Looking for Advisor

You're going to need an attorney who will work with you in putting together a PPM for your deal, as well as making sure you're in compliance with...

Do any attorneys here have experience with E1/2 visas for financial services firms?

You're not only going to need an experienced immigration attorney, but you will need one with extensive commodities expertise to navigate the...

A financial advisor recommended real estate. The individual recommended ran off with all investors money.

Depending on whether the financial advisor was registered with a broker/dealer, you may have causes of action against the FA, supervisors and their...