Can you sue your financial advisor?

Frank could potentially sue Denise (and her firm) for an unsuitable investment recommendation. The factors to determine whether the investment was...

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?

As Mr. Banks referred to in his answer, you should contact an attorney as soon as possible. I would suggest visiting www.piaba.org, which is an...

You are technically not "appealing" the arbitration award; instead, you must file a motion to vacate the award. It is generally difficult...

Financial analyst bad advice economic downturn stock price went down instead of up

It depends. Simply being wrong about whether a stock will go up or down may not be sufficient to find an advisor liable. However, if the advisor...

I gave a guy $3,000 to invest in the IPO of his company over 1 year ago and nothing has been delivered.

I agree with Mr. Savage's answer. You should also consider contacting the Massachusetts Securities Division (sec.state.ma.us). Good luck!

You should talk to an attorney who regularly handles cases against financial and investment advisors. Your planner could potentially be liable for...

If an arbitrator’s Award can be vacated by the federal court under extremely limited grounds enumerated under §10 of the FAA,,,

You are correct that an arbitration award can be vacated by a federal court under limited grounds. I'm not sure if a second arbitrator can...

Inappropiate and risky investment on Merrill Lynch

If your mother passed away in 2003, then of course, the risky investments would have been recommended before that time (also considering the 22...

Stocks IPO Initial Public Offering Lock Up Period Time Large vs Small Shareholders Corporate Finance

This answer will depend typically on the specific terms of the lock-up agreement. Assuming that you are not an employee, executive, or some other...

How do I get my money back?

You can sue this man if he misrepresented the risks of the investment to you. Of course, if he simply pocketed the money, that would be theft, and...