My brother with Moms broker, changed her Will in Nov when she was ill, took her trust paperwork, she doesn't remember signing.

You may wish to consult with a securities attorney on this. Given that the broker is FINRA registered, there would be an obligation to arbitrate...

Will a lawyer be able to help me recover my assets?

Your should retain counsel for a number of reasons. First, if the SEC is already involved, that means that clients of this adviser will likely be...

Looking for an attorney that has experience in financial services, the SEC, etc.

Your venture is replete with a myriad of securities regulation issues, including SEC, FINRA and state securities laws and regulations. You will...

Can an attorney disputes a trade with my broker for me or I must do it myself?

As a forex firm, it likely used a customer agreement that would require any disputes to be resolved through NFA arbitration. Depending on the size...

I'm shareholder of a corp now: dissolution by proclamation/annulment of authority shareholder? what about our investment?

Your shareholder agreement and subscription documents should have detailed disclosures on the notice requirements for a liquidation. Be aware that...

Does the following combination equal a breach of trust: nasty letters to beneficiary and not using his investment skills?

Your description of the "professional stock trader" makes me wonder if this person is actually registered with a broker/dealer or is simply someone...

I invested in a convertible note to fund a start-up. The team is pursuing a different business than I invested in.

You will need to review the terms of your convertible note and what remedies, if any, are provided. It may also help to review your shareholder's...

10 small investors planning to invest as a group, Do we form a LLC or is there any special LLC for Real estate.

What you may be thinking about is a REIT, but I doubt such a structure would be economically viable or effective for a project of this size. Your...

Can one sell an investment newsletter displaying his favorite stocks, if he doesn't have stockbrokers license.

While there are limited exemptions for certain "newsletters" under the Investment Advisers Act of 1940, they are very narrow and must be evaluated...

You are likely going to need to call the old broker-dealer for the U5. While BrokerCheck may have the notation on there, it won't have the full...