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he picked an attorney for the senior to remove the CEO of the family business, make libel and slanderous statements that cost him his 20 year marriage, and they steal his interest in the company costing him millions. The advisor gets investigated by FINRA and loses his license. but with attorneys... View More 
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answered on Jan 31, 2024
James is right, but with one caveat. Every FINRA firm requires investors to sign arbitration agreements agreeing to have FINRA arbitrators decide the case. FINRA arbitration is a tricky place so make sure any attorney you talk to knows the forum.
I recently went through mediation and part of the terms were that I had to resign. It’s getting close to the deadline of when they had to pay and I’m getting nervous because I haven’t received the check yet. I’m located in CA. Is it easy to collect payment if they breach the contract?
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answered on Mar 8, 2024
An early payment on a settlement is extremely rare. If they're going to pay, it will be anytime from 1 day early to 1 day late (as they may interpret the deadline as a mailing deadline). By the sound of your email, it's too early to sweat.
arbitration they are the one who asked for arbitration, but when they found out i am 90 years old and poor health, they are ignoring my appeal to go for arbitration clause or choose an arbitrator.
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answered on Jun 2, 2023
If there is an arbitration agreement, it should be in your account opening documents. If your dispute is with the securities part of Wells, you can can get more information on filing it here: https://www.finra.org/arbitration-mediation.
You should get an attorney to represent you as they... View More
I filed for divorce after obtaining a 3yr restraining order and being granted sole legal & physical custody of our children. Upon initial filing a status conference was scheduled for 5/16 but on 5/13 I received my paperwork back with a notice of entry of judgement stating that my divorce will... View More
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answered on May 15, 2023
Call the courtroom and ask the clerk.
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.
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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.
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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... View More
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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.... View More
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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.
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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.
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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.
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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?
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answered on Dec 11, 2018
Yes they do and they are stronger than the federal laws. They start at Corporations Code 25000
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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?
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answered on Nov 20, 2018
If there is wrongdoing, the brokerage firm he was associated with would be responsible.
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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.
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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
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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.
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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?
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answered on Apr 25, 2018
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
all?
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answered on Apr 25, 2018
The SEC does not regulate bitcoin. As far as I know, nobody does.
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