What is the difference between a 1933 Act Registration and a 1934 Act registration?

"Either form?" First of all, if you are considering going public, you've got to have a law firm and an auditor retained accountant to comply with...

A family member opened a custodian investment account in my name. what kind of lawyer should i seek against him and the company?

You may wish to consider the simplified arbitration process of FINRA if the company is a...

I would like to buy/invest on a running restaurant ,what should ask for before signing the contract?

You need an attorney to review the corporate books to make sure the stock ledger is in good order, as well as to advice you on what right you may...

What kind of fines/plea bargains should I expect to see?

You need experienced criminal defense counsel experienced in handling these sorts of matters in the local federal court in Jackson Hole, Wyoming. ...

Need a lawyer to assist with stocks bought through Merrill Lynch

If the accounts were inactive and your sons moved around, it is entirely possible that the accounts could have been closed and escheated to the...

Can a confidentiality agreement prevent me from filing a complaint and reporting illegal securities activity to FINRA?

FINRA will not give you advice on such matters. What might be worth considering is filing a Dodd-Frank Whistleblower submission with the SEC with...

What do you do when your mother invest in her life insurance policy and after 13 years they cancel it.

You should contact the agent that sold you the policy and ask for some assistance in getting the policy reinstated. As noted before, you may have...

You can answer no to "a," but you should have an attorney compose a "comfort letter" for your firm showing that your completion of First Offender...

Can I sue my boss for wrongfully firing me

Arkansas is an "at will" employment state. Which means you forgo the right to sue your employer for stuff like this for the privilege of being...

Who do I see for mismanagement of investment securities. Not sure which specific lawyer to see.

You should contact a securities litigator with experience in handling matters such as yours. Securities cases have different wrinkles than others,...