Do we have a case against a bond brokerage that failed to properly disclose its fees and lied to my 87 year old mother?

If what you say is true, you mom has the basis for a case under the NJ securities laws (49:3-52) which prohibit the misrepresentation or omission...

Can my ex be held liable for Trading stock in my IRA during marriage - then forged my name to trade options. Isn't this fraud?

If the IRA accounts were in your name, and a broker executed trades at your ex's direction, and you did not have a POA (power of attorney) on file...

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

The simple way to find out the states in which an licensed adviser is licensed is to go to FINRA's brokercheck.org site, That will list the...

The simple answer to your question is that if your financial advisor failed to follow your instructions and your portfolio lost money as a result,...

Can I sue my broker for selling me risky stocks?

You might. Your adviser can only sell you "suitable " investments, and if the investments you bought were too risky given your age, experience, ...

I'm a securities lawyer, not a criminal lawyer, so take that into consideration, but I think that you should find out what the expungement statutes...

Can a broker do anything he want to your investments?

If your account agreement with the broker-dealer says that you gave the broker discretion, then he or she can make trades without your prior...

Regarding mismanagement of securities

There are a number of recognized damages theories you can use in a FINRA securities arbitration. The most common is NOPs, or net out of pocket...