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.
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.
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.
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?
Yes they do and they are stronger than the federal laws. They start at Corporations Code 25000
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?
If there is wrongdoing, the brokerage firm he was associated with would be responsible.
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.
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
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.
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?
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
all?
The SEC does not regulate bitcoin. As far as I know, nobody does.
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.
You can go after his firm. If there is a fraud, the broker's firm would be responsible.
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