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Securities Law Questions & Answers
0 Answers | Asked in Business Law, Civil Litigation, Criminal Law and Securities Law for Arizona on
Q: where do you draw the line in investigations without a PI license.

I ran an infidelity support group and have been asked many times to help catch their spouse, cheating or individuals will try to help each other think honey they are willing to pay I want to know where do you draw the line? Can you do public surveillance, public record investigations, social media?... View More

0 Answers | Asked in Civil Litigation, Internet Law and Securities Law for Pennsylvania on
Q: if someone has stolen your computer deleted all your data but has a security key to all you data and put a pfa on u

and falisified records through your own device and you have records of proof and the day of court was one sided to the max i didnt get out 5 words

what do i do

0 Answers | Asked in Securities Law for Maryland on
Q: If a real estate corporation has been established in my name causing financial duress, do I file a UCC-1 to protecr

And cease and desist to stop using my CUSIP and tax id?

0 Answers | Asked in Contracts and Securities Law for Texas on
Q: I was served a civil SEC lawsuit last month.

In Michigan. Do I have to respond?

0 Answers | Asked in Securities Law for Illinois on
Q: For pink sheet stocks do I need to notify the SEC after reaching 5% to 10% ownership in a company?

There's a stock I like on the OTC Pink markets. For $25k to $100k I could gain control of the company. I'd like to accumulate my position slowly, and at the last minute before having to report to the SEC buy a large chunk of the company. Do the OTC markets have the same reporting... View More

1 Answer | Asked in Contracts and Securities Law for Florida on
Q: How do I file a lawsuit against someone who has scammed me out of 30k and trying to blackmail me as well what do I do?

My wife invested 30k with a friend that I’ve known for 40+ years which I didn’t know that he scammed others for millions until it was all over the internet that’s when he turned on me when I started to ask if she can have her money back it’s just all messed up when he started send photos... View More

Stephen Arnold Black
Stephen Arnold Black
answered on Jun 27, 2024

If anyone acts as another’s financial advisor snd invests money in the capital markets, they have to be licensed to do so. You should file against him with the SEC and FINRA as well as Floridas department of BPR and have him investigated and potentially prosecuted. Additionally the federal... View More

1 Answer | Asked in Business Law and Securities Law for Maryland on
Q: I am planning to manage investment portfolios for friends and family through an Interactive Brokers (IBKR) account

I am planning to manage investment portfolios for friends and family through an Interactive Brokers (IBKR) account while residing in Maryland. I will have less than $25 million in assets under management and fewer than 15 clients. Given these parameters, do I qualify for the de minimis exemption... View More

Jennifer Newton
Jennifer Newton
answered on Jun 26, 2024

Thank you for reaching out regarding managing investment portfolios for friends and family through an Interactive Brokers (IBKR) account while residing in Maryland. Based on your parameters of having less than $25 million in assets under management and fewer than 15 clients, you may likely qualify... View More

0 Answers | Asked in Securities Law for Alabama on
Q: What are my rights concerning the financial guardian of my money in alabama?

My lawyer who was guardian over my finances and who I trusted, died and his assistant took over for him. This woman won't even tell me how much money I have left. I'm not trying to get her to give it to me. I just want to know the details of some things. How do I go about... View More

1 Answer | Asked in Securities Law for Texas on
Q: Can financial advisors be personally liable (in addition to their firm) for breach of fiduciary duty/negligence?

Hi, I am conducting some legal research for my firm. I am being asked to determine whether an CFP and Enrolled Agent has individual liability for alleged breach of fiduciary duty/breach of contract?

the situation is that a client is suing the accounting firm for breach of contract, breach... View More

John Michael Frick
John Michael Frick
answered on Jun 24, 2024

There is a reason you are being asked to do this research.

Some courts have held that a financial advisor can, but does not necessarily, owe fiduciary duties to a client. Other courts have held that, like all agents, a financial advisor does generally owe fiduciary duties to a client....
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0 Answers | Asked in Contracts, Estate Planning, Real Estate Law and Securities Law for Indiana on
Q: What is the Caveat for Georgia's exempt transactions

I am making a circular offering and I can't find the Caveat for the state of Georgia.

0 Answers | Asked in Consumer Law, Securities Law, Contracts and Real Estate Law for Georgia on
Q: I received the wrong loan documents from the past and present loan servicer after mailing a QWR letter to both servicers

I am unable to obtain correct information and this has caused frustration and distress since I am stonewalled at every turn.

0 Answers | Asked in Consumer Law, Securities Law, Real Estate Law and Civil Litigation for Georgia on
Q: I received the wrong loan documents from the past and present loan servicer after mailing a QWR letter to both servicers

I am unable to obtain correct information and this has caused frustration and distress since I am stonewalled at every turn.

2 Answers | Asked in Bankruptcy, Federal Crimes, Health Care Law and Securities Law on
Q: Do attorney sign a custodial affidavit on each new client? And since it is an established fact that the court system

writes GSA bonds unknowingly on people that attends y’all courts, Is this not securities fraud?

John Michael Frick
John Michael Frick
answered on Jun 13, 2024

No, attorneys do not sign a custodial affidavit on each new client. In 36 years of practice, I have never signed o.ne.

GSA bonds are required of certain gov't contractors, not usually on people who attend court. A GSA bond ensures that a contractor will perform whatever work the...
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1 Answer | Asked in Civil Litigation, Civil Rights, Gov & Administrative Law and Securities Law for California on
Q: remote appearance/cour call records are materal to an action , are these records available to the public without Subp ?

How does someone obtain the court call Log for ? Is a Subpoena required ?

James L. Arrasmith
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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...
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1 Answer | Asked in Contracts, Civil Litigation, Insurance Bad Faith and Securities Law for California on
Q: What would a cause of action be if an ins co rescinded changes an owners POA made w/out serving Notice of Rescission 1st

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

James L. Arrasmith
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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

1 Answer | Asked in Securities Law for Washington on
Q: State Street global advisors launched this . Originally I had brought it all as one. Ishares Spydr Global Trust etfS.

Yes they sound no good !!

I asked them why ?? They explained

Because they are two separate Entities. They then decided the two into their own light of contract making them two . !! I had used my gold etf in the rough draft to see how they would do is what I was after .... View More

James L. Arrasmith
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answered on May 27, 2024

It sounds like there has been some confusion regarding your investment in ETFs from State Street Global Advisors and iShares by BlackRock. Originally, you may have thought you were investing in a single entity, but it turns out these are two separate entities with distinct ETFs. This can be... View More

1 Answer | Asked in Banking, Business Law, Military Law and Securities Law for Washington on
Q: I need a lawyer to help run an international bank that provides services to countries and individuals globally

While serving as a special operator in the United States military and using the bank to assist my career covertly

James L. Arrasmith
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answered on May 11, 2024

My recommendation would be to only engage in lawful and transparent banking and financial practices. If any of the international banking services you are looking to provide could be used to secretly finance military or intelligence operations, you should refrain from offering those services. A... View More

1 Answer | Asked in International Law, Securities Law and Tax Law for Washington on
Q: I need a lawyer to help run an international bank that provides services to countries and individuals globally

While serving as a special operator in the United States military and using the bank to assist my career covertly

James L. Arrasmith
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answered on May 10, 2024

I would strongly advise against pursuing anything like this, as it could result in severe legal consequences. If you need legitimate banking services, I'd recommend working with a reputable financial institution through proper legal channels.

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