In the summer of 2008, my broker sold all of my mutal funds and traded them for stocks. Did he hve auhority to do this?

Depending what your damages are and other factors, you may have a case. This was a while ago, so get in to see an experienced securities...

Self directed Schwab account - fiduciary fraud?

You family member may have a claim agaisnt Schwab. If they gave him incorrect information about reducing his margin account they are liable for...

X Broker Ploy

FINRA Rule 2130? I believe that rule involves day trading approved procedures. Do you mean FINRA Rule 2080? Also, not sure what the question...

If someone were to receive 1 million dollars in a lump sum (a check for exaple What should they do to protect it legally?

Finding advisors you can trust can be difficult. You would want advice from a CPA regarding tax issues with the funds and a trustworthy financial...

It depends what action you are talking about. If her actions caused you damages, you should have a good claim to recover them. Without the...

Is defeered annuities breakable

Also, it is possible depending on the product, fixed or variable, your age, and the law in your state re the sale of varialbe annuities to persons...

Hi I am in a quorps which i wanted to cash in. I asked my advisors if i can cash in and they said under no circumstances.

Generally, your financial advisor owes you a duty to amoung other things answer questions truthfully and accuratelly. In some states in the U.S.,...

I lost money with this brokerage account, because of what I beleiveits their wrongdoing. Do I have a shot to get it back?

It depends to some extent what your agreement with them says, usually they give a great deal of leeway to the brokerage. Under your agreement with...

In general states require compliance with 11 USC 1033 for the Ins. license. This means for certain felonies, you must obtain a waiver. 18...

Should I form my company before getting venture capital financing?

Are you talking about angel investors, individuals usually putting in money for shares, or true VC investors? If your investros are angel...