HD Vest is a registered broker-dealer under FINRA, the Financial Industry Regulatory Authority. HD Vest is an independent broker-dealer, meaning...

The brokerage firm should have closed the account once the decedent died and transferred the funds to the estate. Presumably at that point, the...

You can sue your advisor if he made material misrepresentations about the risks of investing in Woodbridge, or if the Woodbridge investment is not...

You should at least consult with an attorney (or a few) before deciding what to do. Most attorneys in this area of law give free consultations. ...

Is it legal for a financial adviser to be a fiduciary and non-fiduciary to the same client at the same time?

This is a complicated area, even for many attorneys. However, I agree with the previous answers, that the broker can be considered to be a...

Can I sue a scammer?

You can always sue for something like this. However, whether you collect on it is another story. I would bring this to the attention of the...

If my attorney and I terminated our relationship, am I entitled to receive any information about my case?

I agree with the previous answer that you are entitled to your entire file. The attorney must send you copies if you request them. You should...

Financial Adviser takes advantage of senior citizen in selling $40,000 in business development center investments

I agree with some of the other answers already given, in that the investment may not have been suitable for the senior investor. Moreover, if the...

It is difficult to tell exactly what happened based on the facts you have given. However, you may be violating federal and state securities rules...

How can I get money back from an investment that did not go through?

Do you have your money held in a brokerage firm account? If you have your money held in an account somewhere (like ETrade, Fidelity, etc.), you...