Get free answers to your Securities Law legal questions from lawyers in your area.
Your current state is Ohio
I suffered losses due to fraud/misleading related to Terraform labs (UST terra Stable coin)
In the case action there are 2 forms :
1. General proof of claim 2. crypto loss proof of claim creditor classes: crypto loss claims (class 5) & general unsecured claims (class4). Thank You
Received a letter from California treasury notifying me that I have securities with metlife inc metlife common
If you are quite famous in the financial industry, then following personal analysis, decide to increase your price target on a certain stock, this gets known by some reporter, who anounced it publicly without your knowledge or consent, the good news makes this stock quickly increase in price, you... View More 
The account he put the money in was in the name of our family business. He told me he was investing this money. He told me that the family business didn't exist. Through the last 9 years I've lost everything and now live in a camper. Yet I've watched him get air BNB, buy a glamour... View More
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answered on Jul 18, 2024
It sounds like your dad might have misused your social security back pay, which could be a serious legal issue. When someone uses another person's funds for their own benefit without permission, it can be considered misappropriation or fraud. Given the situation you've described, it might... View More
What are my options in filing suit
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
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
And cease and desist to stop using my CUSIP and tax id?
In Michigan. Do I have to respond?
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
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
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
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
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
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
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.... View More
writes GSA bonds unknowingly on people that attends y’all courts, Is this not securities fraud?
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... 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
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
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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
While serving as a special operator in the United States military and using the bank to assist my career covertly
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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
While serving as a special operator in the United States military and using the bank to assist my career covertly
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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.
Not security fraud? Is this not a breach of fiduciary duties? Are GSA bonds negotiable by delivery? Do these bonds authorize you to order the release of the defendant /surety/debtor/vessel from any encumbrance, attachment, lien, levy, liability, obligation, charge, undertaking, performance,... View More
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answered on May 8, 2024
This is a complex legal and financial topic involving claims about government bonds and securities, fraud, fiduciary duties, and victimless crimes. I don't have specific knowledge about recent court actions regarding GSA bonds and securities. In general, the sale of government bonds and... View More
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