Which license other than Series 7 is mandatory for a CA Investment Advisor/Ins. Agent to sell Ins. in New Hampshire legally?

In order to be an IAR (Investment Advisor Representative), one would need a Series 65 or 66. Additionally, that person could be registered and sell...

What can I do legally to take my financial investment company to support my claim?

The other attorney response here (re: internal policies & procedures) is spot on. Many firms require a verbal authorization prior to wiring funds,...

Brokerage firm scam

How were the orders entered...? For example were they "held" or "not held"...? If the order was marked "not held" the ECN or exchange it was routed...

Impossible to know what the concern is, from the information provided... It could be economical or regulatory. In some instances, I've seen firms...

A man claims to be a financial investment consultant for an international company but is resigning to start his own company

As others have indicated, this is very suspect. Additionally, on the off chance this person is a "investment consultant" he most certainly would be...

Selected as the best answer

I work in financial services investment broker, and have a forgivable loan. Need a labor lawyer

Without further information, I'm going to make an assumption. Please update accordingly. Generally, in my experience, these types of agreements...

Are pump and dumps conducted with cryptographic currencies such as bitcoin illegal?

Any pump & dump, security or not, is most likely illegal... At a minimum a form of misrepresentation / manipulation. It involves selling an asset...

The man who as managing my money & lost it all. had him arrested, and is currently being investigated by, the SEC

Firstly, I'm very sorry to hear about your situation. Was the investment manager with a firm...? If so, you may have a claim against those who...

A friend and I want to develop a property. My mom wants to invest with a self directed IRA? Is this a prohibited transaction?

There are many factors at play here (from a legal standpoint and as an investor) and really this question should be directed to a licensed...

Can a broker be sued for taking no action with my investment when they should have?

As others have indicated on here, there are statutes that generally limit the amount of time a claim can be brought successfully, usually (6)...