The Union advised me that I will get my job back and back pay, it's been over 11 months now and nothing, Union keeps dragging their feet say the Company needs W2's, then update my Commercial License, etc.
answered on Sep 27, 2022
I do not know how union arbitration awards are enforced. With a normal arbitration, the arbitration agreement or award says that the award can be confirmed as a judgment. In those cases, you would confirm the award as a judgment and enforce the judgment.
answered on Sep 1, 2022
Anyone can allow you to manage their money. There are no requirements for you to do so. Having a business of, or charging for, managing someone else's money can a different story and is more complicated.
I have been a client of Merrill Lynch (ML) for more than 20 years. Not until 3 months ago did any of my advisors at ML ever mention that I should be purchasing US Govt issued iBonds, as part of my portfolio, which in almost every year of my ML relationship have paid a substantially higher return... Read more »
answered on Jul 28, 2022
The advice Mr. Neuman gave is good advice. If I may add a couple of thoughts. 1. Merrill does sell iBonds. They're a low commissioned product so they may not recommend them much. 2. I doubt your damages are as high as you think as you cannot buy more than $10,000 in iBonds a year. 3.... Read more »
answered on Jun 8, 2022
In California arbitrations, all subpoenas need to be executed by the arbitrator(s).
I became aware of the lawsuit just today when calling to office to check on my $250,000 investment. I was never informed of this proceeding, and not listed as an interested party on documentation. It is in receivership. What do you suggest I do as next steps? Please advise, thank you.
answered on Sep 30, 2019
Contact a lawyer. You may want to notify the receiver. You may have claims against the managers and those who sold it to you. You should act sooner rather than later.
This person, manipulated her father along with her husband, became POA, Caregiver and Trust executor. Self dealing, controlled all assists, withheld family from seeing their father.
answered on Sep 15, 2019
I think you're in California. I would think you'd want to contact the Department of Adult Protective Services. There should be at least one office in each county. Then you should talk to a lawyer.
if there anything I can do to make them honor my Arbitration award for my back pay? They've done others since I've started my process also, but mines for some reason is in limbo.
answered on Aug 23, 2019
Most arbitration awards can be turned into court judgments relatively easy. Once you have a judgment, you can collect on it as you would any judgment.
the federal ones?
answered on Dec 11, 2018
Yes they do and they are stronger than the federal laws. They start at Corporations Code 25000
answered on Nov 26, 2018
Neither. An arbitration award can be turned into a judgement without suing. You ask the court to turn it into a judgment by filing a Petition to Confirm it as a judgment. Then you could collect on it as you wold any judgment
don't know his current whereabouts?
answered on Nov 20, 2018
If there is wrongdoing, the brokerage firm he was associated with would be responsible.
answered on Oct 2, 2018
In a mediation, the parties can set whatever ground rules they want, including time limits. In reality, mediations, even in complicated cases, do not last more than a day or two. If the parties sense that the case will not settle, parties may start walking away.
answered on Sep 14, 2018
If your options are in the money, you may want to exercise them. If a stockbroker recommended the options without warning you about the companies financial condition, you may be able to sue. You'll need to talk to an attorney.
www.securitieslaw-attorney.com
answered on Jul 17, 2018
Gather all your documents and put them is a safe place. Call an attorney to go over your case. Any attorney you talk to may ask you to write up a narrative (your story) as to what happened. It may be a good idea to start on that.
answered on Jun 12, 2018
If certain narrow conditions are met, an arbitration award can be vacated or corrected by a court. If a court refuses to vacate or correct the award, the court's decision can be appealed. Act fast, you generally have around 3 months to file and serve the correct papers.
A tax lien was placed on my assets, then released, without my knowledge. My new employer wants me to have this recorded on my U4. Is there any way I can keep it off my U4?
answered on Apr 25, 2018
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
all?
answered on Apr 25, 2018
The SEC does not regulate bitcoin. As far as I know, nobody does.
answered on Apr 25, 2018
Yes. They are required to disclose such things. You can check for yourself if you go to www.finra.org and type your broker's name in the "Brokercheck" box.
answered on Apr 25, 2018
You can go after his firm. If there is a fraud, the broker's firm would be responsible.
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