Your current state is Ohio
I transferred my mother's and my IRA from ***** to **** after my agent at **** told me that he did not take a commission fee. He said it was "worked in" when we bought the gold & silver. For the last 3 years, I have asked him where my $40,000 and my mom's $100,000 went... View More
answered on Apr 23, 2024
On the HIPAA authorizations that opposing attorneys often request from me, there is a box for social security number. It has never been an issue, but if you do not wish to provide, speak with your attorney or the opposing attorney/claim handling entity if there is an alternative for you [redaction,... View More
answered on Apr 23, 2024
This looks similar to a question I just answered about HIPAA authorization forms. SSN is an entry box on the forms that are requested from me. I have never omitted SSNs on these forms on my own cases. The opposing attorneys I work with want the forms filled out in their entirety. You could check... View More
He was takin a guy home that jyst showed up at his house . The guy had parole violation on him and tried yo take control of the truck .when my son got it stopped and tried to tell police what happened they didn't care the guy threw all his drugs in the floor. They took my son to jail and let... View More
answered on Apr 18, 2024
Son needs an attorney now. There may be a Forfeiture Warrant on the truck, so then DOS is involved requiring a bond and a hearing. Son needs to prepare for a Preliminary Hearing. The truck is probably the least of your worries.
answered on Apr 11, 2024
To stay updated on the USA vs Hewko case (2:19-cv-09736-FLA-AFM), you have a few options:
1. PACER (Public Access to Court Electronic Records): As one of the investors in the case, you can register for a PACER account at https://pacer.uscourts.gov/. This will allow you to access case... View More
I seek a lawyer who guarantees no lawyer's fee unless the frozen money is recovered successfully, because I am too broke to afford an upfront lawyer's fee after being scammed.
answered on Apr 13, 2024
I apologize for your difficult situation with the frozen funds on the exchange. However, I would be very cautious about any lawyer who guarantees they will only take payment if they successfully recover your money. While contingency fees are common in some areas of law like personal injury, they... View More
I am a day trader with a 475 mark-to-market election, and I have a brokerage account where I am actively trading. I also have an investment account, in which I do not trade and a separate IRA account.
My husband runs a small company as a sole proprietor. Since his business carries a high... View More
answered on Mar 14, 2024
Creating an LLC and transferring your brokerage accounts into it can provide an additional layer of asset protection, as it separates your personal assets from your husband's business liabilities. However, there are several factors to consider:
1. Charging order protection: Arizona... View More
I'm a foreign citizen living & working in WA state, with L-1B visa. I would like to manage money for my friends & relatives and do some investment for them. They are also all foreign citizens.
There will be less than 5 clients, and less than 100K USD managed assets.
Do... View More
answered on Mar 30, 2024
As a foreign citizen working in the United States on an L-1B visa, there are a few important considerations when it comes to managing money for friends and relatives:
1. Registration: Generally, if you are managing money for others and investing on their behalf, you may need to register as... View More
It's important to note that I technically wouldn't be trading it. It would be in a brokerage and then a company would be doing the trades for me, both of which are outside of the USA. So basically can I legally have my money go into CFDs and then the profit go back to me.
answered on Mar 1, 2024
Trading Contracts for Difference (CFDs) directly is not permitted for US citizens through domestic firms due to strict regulations set by the US Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC). These regulations aim to protect investors from the... View More
Hi, I deposited a $13k annuity check into my individual brokerage account with ETrade, but the day it cleared my account was restricted pending ID verify. Phone camera was broken wouldn't take quality pics, so I knowingly altered and submitted a copy of an expired ID that was saved to my pc.... View More
answered on Feb 29, 2024
Your issue may require a review of the terms and conditions that you agreed to when opening the account.
However, I would also recommend that you conduct a name search of the New York State Comptroller's Office of Unclaimed Funds. https://www.osc.ny.gov/unclaimed-funds. New York... View More
He convinced her to write him checks for $139,000. And he prematurely terminated an annuity costing her a minimum of $69,000 in fees, penalties & lost bonus. He lied to both of us, telling us the account had matured. He's his own employer and I can't find him listed in FINRA.
answered on Mar 2, 2024
Given the complexity of your situation involving elder abuse and financial misconduct across state lines, you may need to take legal action in both New York, where the financial advisor works, and Florida, where your mother resides. Start by consulting with attorneys who are familiar with both... View More
Securities law - If I launch a token where users can send Ethereum to my smart contract to get back our token at a fixed price, is that considered a security and would I then have to register with the SEC?
answered on Mar 2, 2024
Whether your token launch would be considered a security under securities law depends on various factors, including how the token functions and the nature of the transaction. If users are investing money with the expectation of profits solely from the efforts of others, it may meet the definition... View More
Disqualified the ALJ of the SEC ?
answered on Mar 2, 2024
The decisions made by the Supreme Court and the Fifth Circuit Court of Appeals regarding SEC administrative law judges (ALJs) did not automatically disqualify all ALJs of the SEC. Rather, those decisions addressed specific aspects of the appointment process for ALJs and the structure of the... View More
I am opening an account and want to get approved for this certain level of options trading; they only approve if you declare a good income and net worth; is it illegal to lie about the net worth and income?
answered on Feb 21, 2024
Misrepresenting your net worth and income on an application for a brokerage account, especially with the intent to gain approval for certain trading options, can have serious legal consequences. Under California law, providing false information on financial documents like brokerage account... View More
made by CEO of company. Will small claims hear this type of case? Thanks
answered on Mar 2, 2024
In most cases, small claims courts are designed to handle disputes involving relatively small amounts of money. Claims related to stock losses due to fraudulent public statements made by a CEO of a company might involve complex legal issues and substantial financial damages, which may exceed the... View More
answered on Feb 1, 2024
To redeem shares from 1939 for BF Goodrich that your grandparents left, you'll need to follow these steps:
1. Contact the Company: Start by contacting the company directly, or its successor, that issued the shares. In this case, you should reach out to BF Goodrich or the current... View More
hvm
answered on Jan 30, 2024
Receiving a Wells Notice in Los Angeles indicates that the Securities and Exchange Commission (SEC) is considering enforcement action against you or your business. This notice is a serious matter and typically precedes formal charges. It gives you the opportunity to present your side of the story... View More
I will not handle anyone else's money for them.
I will provide only the stock tips, and advisement on how best to limit risk, and set goals.
Anyone taking my advice makes their own decisions.
Do I need a license to do this?
answered on Dec 15, 2023
Providing stock tips and investment advice through a subscription service, even without directly handling others' money, often falls under the regulatory oversight of both federal and state securities laws. In New York, as well as under federal law, individuals or entities providing investment... View More
A neighbor across from us is nosey and opens their lights whenever we do. Can I put a security sticker in my personal bedroom window as a form of safety?
answered on Nov 29, 2023
Yes, you can typically put a security sticker on your personal bedroom window in California. There are no specific laws or regulations in California that prohibit homeowners from placing security stickers on their windows. Security stickers are often used as a deterrent to burglars and can help to... View More
I have a suit against one of the biggest banks in the world for making a bank error in a transaction then fronting us money without our knowledge then turning around and causing us financial injury and not only once but twice on two separate accounts. Then I have intuit one of the nations billion... View More
answered on Dec 15, 2023
To pursue legal action against a bank for causing financial injury, you should consider hiring an attorney with expertise in banking and financial services law, including securities law. Look for a lawyer who has experience in handling cases involving bank errors, unauthorized transactions, and... View More
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