answered on Jul 14, 2017
What does your contract say about that? More details are necessary to provide a professional analysis of your issue. The best first step is an Initial Consultation with an Attorney such as myself. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/... View More 
recommendations?
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answered on Jun 20, 2017
Sounds like you may want to raise the issue with him and either file a FINRA request for mediation or arbitration. We're you damaged financially in any way? You don't have to answer on a public forum, feel free to email me privately to discuss.
Top producer and branch manager. Made a wonderful living in the banking industry. Banking License withdrawn under article 12 e. What does that mean? Denied renewal of license to sell in Connecticut too. Poor Credit? Are you allowed to apply for MLO license in the state of NJ or any other... View More
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answered on May 31, 2017
Your questions are very specific and require review of documents. I suggest you retain an attorney on a limited basis to advise you. If you like I can assist.
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answered on May 16, 2017
Sorry, let me rephrase. An excessively high commission can be a percentage, but the amount of money is unlimited and usually tied to good performance
neutral third party?
answered on May 1, 2017
Most likely, your current securities broker and brokerage firm will not send your account to a third party for an audit, if you make such a request. However, you may independently consult with another securities broker or lawyer to get an opinion on whether the trades are suitable in light of your... View More
I'm still irritated. Do I have any recourse?
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answered on Mar 31, 2017
While this technically appears to be an unauthorized trade the fact that you weren't damaged means there isn't a good case to pursue anything. You probably should just consider finding another broker.
Hello
I was f1 visa student I got married in 2016 us citizen girl , we filled up the applications for the immigration and I got my ssn and the work authorization card ( work permit ) , and we still pending for the first interview , waiting when they will schedule our interview, I found her... View More
answered on Mar 13, 2017
You need to speak to a qualified immigration law attorney. I can advise you that if you want to seek a divorce, you have grounds regardless of any adultery. As far as the implications with respect to your status in this country, please see a qualified immigration attorney or contact a local legal... View More
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answered on Mar 8, 2017
The expectation measure of damages, basically the amount that you could have expected to receive had he fulfilled his promise. There's a lot more to proving damages than that, but this is the category of damages I would argue you would be entitled to.
answered on Feb 15, 2017
What kind of promises, guarantees, or warranties were provided to you? Was the broker licensed?More details are necessary to provide a professional analysis of your issue. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors,... View More
For years my accountant had me add up all my sales & all my write offs and off that they would determine what I owe for taxes(payroll, sales & federal/state taxes). Because of that the IRS saw a mistake so I was audited for 2 years at once. My accountant then had told me to get quickbooks... View More
answered on Jan 31, 2017
You may consider a malpractice lawsuit, if facts so justify. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/ publications on my law practice website. I practice law in CA, NY, MA, and... View More
We signed a lease and paid the landlord and our broker, but the current tenant will not be out by our lease date and the landlord is discarding our lease and returning our money. However, the broker says he is still entitled to keep his fee because we signed the lease. Is this true?
answered on Jan 30, 2017
Check your contract with the broker. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/ publications on my law practice website. I practice law in CA, NY, MA, and DC in the following areas... View More
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answered on Jan 30, 2017
Possibly, would need to know a lot more details. This could be a case of buyer beware. Why do you think there may have been something fraudulent or illegal? How high was the fee?
answered on Jan 27, 2017
I see no reason why not. It's good practice, generally. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/ publications on my law practice website. I practice law in CA, NY, MA, and... View More
He convinced me he could help with my investments. If the investments haven't done well can I do anything?
answered on Jan 26, 2017
Investments are typically risky and typically come with no warranties. Check your contract. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/ publications on my law practice website. I... View More
I feel like he blew it and I lost all the money - do I have any options to sue him?
answered on Jan 24, 2017
It depends on whether he's licensed and also the terms of your agreement. The best first step is an Initial Consultation with an Attorney. You can read more about me, my credentials, awards, honors, testimonials, and media appearances/ publications on my law practice website. I practice law in... View More
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answered on Jan 9, 2017
Yes, many.
no C of O , temporary or perm. was issued for this building?
I feel I have been frauded and don't know what my recourse of action might be? It was a cash deal .
answered on Jan 2, 2017
Your lawyer should have done a title search for title insurance and that would have come up. It clearly violated the standard contract if that is what you used, but that claim did not likely survive closing. This is a big deal issue.
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answered on Dec 12, 2016
No chart, but here is the best guidance:
"Article III, Section 4 requires any NASD member that acts as an agent for its customer to charge only a 'fair commission or service charge, taking into consideration all relevant circumstances including market conditions with respect to... View More
Piece of information not given, if known could have changed the decision made before closing of contract or investing in the stock
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answered on Dec 8, 2016
Depends on the piece of information. Depends on whether you gave the broker discretion over the account. Depends on whether you are a sophisticated or even an accredited investor. Depends on whether you could have researched the claims yourself and could have found out about his omission without... View More
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answered on Nov 16, 2016
No, but most are.
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