Get free answers to your Securities Law legal questions from lawyers in your area.
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 
The 401k is from the company where they used my social security
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answered on Nov 15, 2024
This situation involves identity theft and unauthorized use of your Social Security number, which is a serious crime. Your first step should be to file a police report and contact the Federal Trade Commission (FTC) to report the identity theft - this creates an official record of the fraud and can... View More
We are a rea estate investment firm
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answered on Oct 16, 2024
Structuring a real estate debt fund involves several key expenses you should plan for. Legal fees are a major component, as you'll need experienced attorneys to navigate securities regulations and draft necessary documents. Depending on the complexity of your fund, legal costs can range from... View More
$100+ million stolen from 1000 US investors, 15 yrs case, no pmts on restitution judgements, Judge allowed home arrest literally 2 yrs, FED GOVT ACCOUNTABILITY OFFICE investigated and publicized lack of DOJ/FBI/SEC/BOP enforcement/victims rights, MANY OTHER VICTIM US COMPENSATION organizations... View More
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answered on Sep 22, 2024
It can be incredibly frustrating when justice seems delayed or incomplete, especially in cases involving large-scale fraud. Restitution can take years to enforce, and unfortunately, sometimes those convicted don't make the payments ordered by the court. Even though laws are in place to protect... View More
I am unsure or unaware of the specifics as my ex-husband took care of most of the financial details. He is also deceased and I am left in the dark on this. How do I go about accessing his account?
answered on Oct 2, 2024
To addd to the prior answer, further information can be found on the TreasuryDirect website - https://www.treasurydirect.gov/savings-bonds/manage-bonds/death-of-owner/
Good luck, and sorry for your loss.
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
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answered on Aug 21, 2024
If you were affected by the National Public Data breach, you may be entitled to compensation depending on the specifics of the case. Typically, in data breach incidents, victims can seek compensation through legal actions such as class action lawsuits or settlements. The compensation might cover... View More
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answered on Aug 20, 2024
It's understandable to be concerned about your information after a data leak. However, downloading data from a leak, even if your intentions are just to check if you're affected, can have legal consequences. Accessing such data without proper authorization is generally illegal, and you... View More
How does someone obtain the court call Log for ? Is a Subpoena required ?
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answered on May 25, 2024
Under California law, remote appearance and court call records are generally considered part of the official court record. However, public access to these records may be limited and vary depending on the specific court and type of case.
To obtain the court call log, you typically have two... View More
The ins company had to know or at very least became aware of the fact service of Notice of Rescission prior to exercising rescission is a California statutory requirement,"no Notice, no rescission." Americo was repeatedly asked to provide the citation, code or case law relied on to... View More
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answered on May 22, 2024
Based on the information provided, it seems that the insurance company (Americo) rescinded changes made by the policy owner through a Power of Attorney (POA) without properly serving a Notice of Rescission as required under California law. This action by the insurance company could potentially give... View More
I am opening an account and want to get approved for this certain level of options trading; they only approve if you declare a good income and net worth; is it illegal to lie about the net worth and income?
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answered on Feb 21, 2024
Misrepresenting your net worth and income on an application for a brokerage account, especially with the intent to gain approval for certain trading options, can have serious legal consequences. Under California law, providing false information on financial documents like brokerage account... View More
hvm
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answered on Jan 30, 2024
Receiving a Wells Notice in Los Angeles indicates that the Securities and Exchange Commission (SEC) is considering enforcement action against you or your business. This notice is a serious matter and typically precedes formal charges. It gives you the opportunity to present your side of the story... View More
A neighbor across from us is nosey and opens their lights whenever we do. Can I put a security sticker in my personal bedroom window as a form of safety?
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answered on Nov 29, 2023
Yes, you can typically put a security sticker on your personal bedroom window in California. There are no specific laws or regulations in California that prohibit homeowners from placing security stickers on their windows. Security stickers are often used as a deterrent to burglars and can help to... View More
A company that issued cryptocurrency tokens did what many of us believe to be fraudulent activity and the token lost almost all value. After speaking with lawyers, a class action lawsuit is likely going to be filed. I was told by said lawyers that it is perfectly legal to buy the cryptocurrency... View More
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answered on Aug 14, 2023
Engaging in the purchase of a cryptocurrency with the intention to participate in a class action lawsuit could be legally permissible in California, as long as the purchase itself is conducted within legal bounds and you are not an insider of the company. However, potential ethical and practical... View More
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answered on Apr 26, 2023
No, judges do not have a financial incentive in the outcome of court cases for capital gain surety bonds. Judges are required to be impartial and unbiased in their decision-making, and they are bound by ethical standards that prohibit them from engaging in any behavior that would compromise their... View More
The credit card company asking for this letter.
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answered on Mar 3, 2023
It is important to note that whether a crypto asset is considered a security depends on various factors and requires a careful analysis of the specific circumstances surrounding the creation, sale, and use of the asset. The analysis may include, but is not limited to, considerations of how the... View More
I.e. Could I legally cover the taxes on an employee's vest, to "purchase" the shares that would normally be sold to cover the taxes associated with the vested stock amount? If I formed a private agreement with that employee to earn the return on those shares, minus some percentage,... View More
answered on Sep 20, 2022
This seems like a strange way to address the issue. Without speaking to your specific situation, a loan, to be repaid [secured or unsecured], would be a way one could cover costs. You need to speak with a local attorney regarding your specific situation. [I litigate cases. Anything posted here must... 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
Police officers came to the home of my mother-in-law because her son was in violation of his probation. They [Police officers] entered our home and noticed our security camera and immediately disconnected it. When I asked why he did that, he said, "because we're supposed to. It's... View More
answered on Jan 16, 2022
You don't mention whether the police were given permission to enter the premises under the circumstances you described. Causing property damage during such a call at private property is not proper or legal, in my opinion. Disabling the recording system is one thing, but damaging the system by... View More
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