Get free answers to your Stockbroker Fraud legal questions from lawyers in your area.
I am dealing with potential forgery, fraud, and mismanagement of a Trust established for myself in which I am categorized under a ‘Special Needs Trust’ that does not reflect my circumstances. There's discrepancies; absence of my signature, false info, multiple drafts, fraud and complete... View More 
answered on Nov 15, 2024
Few lawyers want to take on a client who has already met with a number of lawyers, all of whom passed on the case. Lawyers would likely assume all of the attorneys who reviewed the case saw something they didn’t like, so why would my review of it be any different? Meeting with a lot of attorneys... View More
I am trying to resolve the matter through customer service of the company but not making progress. The company has offices in Arizona too. I paid fees in 4 digit dollar amount with credit card.
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answered on Nov 14, 2024
Your best immediate action is to dispute these charges with your credit card company since you paid using a credit card - this protection is one of the key benefits of using credit cards for purchases.
For future recovery efforts, you have multiple paths available: You can file complaints... View More
Is there any oversight on attorneys who file false cases purely for financial gain? I recently learned about an attorney who has filed numerous wrongful foreclosure cases in two counties within months after a trustee sale.
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answered on Aug 26, 2024
Yes, there is oversight for attorneys who file false cases purely for financial gain. In California, the State Bar of California regulates attorney conduct and can investigate complaints related to unethical behavior, including filing frivolous lawsuits. Attorneys who engage in unethical practices... View More
My neighbors who I thought were my friends stole my identity. I have proof of the accounts they opened and how they accessd my accounts was by hacking my email accounts and phone accounts since she helped me set up a fire stick she either connect me to her wifi or she connected to my wifi and she... View More
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answered on Jul 18, 2024
In California, you have the right to take legal action against your neighbor for identity theft and fraud. You can file a civil lawsuit to seek compensation for the financial losses and emotional distress caused by her actions. To strengthen your case, gather all the evidence you have, including... View More
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answered on Jul 2, 2024
If your Cash App account was hacked and funds were stolen, it can be very distressing. Under California law, there are protections in place for consumers who fall victim to fraud. It's crucial to act quickly to limit the damage.
First, report the theft to Cash App immediately through... View More
Calls me and says the check was no good ,Even though the check cashing company called the issuer of the check and verified that the check is good and go ahead and cash the check! Apparently the issuer of the check received a banking notice to direct deposit the funds electronically to my bank,... View More
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answered on May 10, 2024
Based on the details you've provided, it seems you are caught in a difficult situation due to the actions of the check issuer and complications with your bank. Here are a few steps I would recommend taking:
1. Document everything - Make sure you have records of all communications with... View More
I have an webull account and I was wondering if my 16 year old son could make stock trades on my account if I give him permission, I live in California and I was wondering if this was legal? This is my own money, I’m on a cash account.
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answered on Apr 4, 2024
In the United States, there are legal restrictions on minors (those under 18 years old) engaging in financial transactions, including stock trading. Here are some key points regarding your situation:
1. Brokerage accounts are typically opened and maintained under the name of an adult... View More
If I file a lawsuit for everything, including violent threats, and verbal physicial,
would that be able to be outlined in General Chapter Attorney Liens for 221 Section
The Law is different for everyone, everyone doesnt fall under the same law.
For reference, I exercise... View More
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answered on Jan 13, 2024
Under California law, filing a lawsuit that includes claims for violent threats and verbal or physical harm can be complex, especially when considering the specific provisions of Section 221 under the General Chapter Attorney Liens. It's important to clearly outline each claim in your lawsuit... View More
Complex the have combined law suit that the judge did not approve because it addresses the same property
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answered on Dec 16, 2023
In California, if you're dealing with a situation where a suspended broker and a private lender have slandered the title and retaliated, there are several legal forms and actions you might consider. Firstly, for addressing slander of title, filing a civil lawsuit for defamation might be... View More
They claim the beneficiaries have been notified but they have not. The agency is in Ohio
answered on Jun 14, 2023
You can sue anyone for anything, but that doesn't mean the lawsuit will be successful. If you haven't already done so, you should have a lawyer send a demand letter asking the company to cooperate and prove the beneficiaries have been notified. It's possible that the beneficiaries... View More
Let’s move forwarded pass everything because it’s already done. Also breaks at work 30 mins lunch one hour that should help and more trading if a nurse is high rank in college she should be a teacher and more guidance look I stayed away from politics in 2013 after may5th it just took me to step... View More
I do not have any licenses (7, 63, 65). With the appropriate disclaimer, can I publish these trades in app or newsletter for a monthly subscription fee? If no, would the answer change if I was simply listing the trades I made in my own account (as opposed to providing advice) ? ie....not a... View More
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answered on Nov 23, 2022
The question is really whether the activities identified in your question would fall under the Investment Advisers Act of 1940 (15 USC s. 80b, et seq.) which identifies advisory activities in section 202(a)(11) (15 USC 80b-2(a)(11) essentially as follows:
an investment adviser means any... View More
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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
answered on Jul 28, 2022
California law finds that stockbrokers and financial advisors are per se fiduciaries to their clients. Thus, the fiduciary has to act in your best interest first. There are a number of other duties that arise when a stockbroker is a fiduciary, such as keeping their clients abreast on changes in... View More
Yeah because I have reason to believe that my father's name was changed my mother's name was changed and then they made everything look that way now people are benefiting from everything that's written on the story and then it appears that my father and my mother the identity was... View More
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answered on Jun 20, 2021
Most fraud offenses can be investigated by either local or federal authorities. If you have evidence of a criminal fraud or identity theft, you can begin by reporting that evidence to either your local police department of FBI field office.
- Law Office of Joseph Abrams, Anaheim, CA
answered on Jan 28, 2021
First, this is not "Stockbroker Fraud". If you do not select the correct category, then attorneys that handle that kind of case do not get a notice. Next, Moving companies are federally licensed, you should look up your company on the internet and you will find out a lot about them,... View More
If not, and a contract was made for that purpose. Let's say the loaner, loaned $5k and was promised back $10k.
Would the borrower still be obliged to give $10k
even though the contract is not legal?
answered on Jun 15, 2019
There is nothing inherently illegal or unenforceable for a contract concerning trading stocks. However, there are a lot more questions that would need to be answered in order to know for sure, including what state you are in. There may be a requirement for the person doing the investing to be a... View More
I am not a licensed stock broker. Two people gave me money after I told them I would invest for them but I never invested for them. Can they file some sort of legal action against me?
she is deceased now but theystole over 200,000, from her and vanished,and I just discovered this,going through her papers.
answered on Jan 11, 2018
1. Call the police/DA's office. 2. The mother-in law's heirs may be able to pursue a financial Elder Abuse claim against the financial advisor and his employer. 3. Depending on the type of financial adviser, there may be state/federal licensing agencies to whom a complaint can be... View More
What can a person do
answered on Dec 28, 2017
without all the facts it is hard to analyze.
this kicks in when you are interfering with someone else's business relationship.....ie they are trying to sell, enter into contract etc and you are causing them to lose their deal etc
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