Your current state is Ohio
Regions bank employees faciliated conversion by making new document for a friend to take over bank accounts
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answered on Nov 22, 2023
It sounds like your lawyer needs to get in gear. There should be multiple defendants involved, and discovery needs to be enforced by the Court. It sounds like forgery is involved. Subpoenas against financial institutions must meet several statutory requirements.
In the state of Tennessee can an armed guard have a rifle in their personal vehicle at work if they did not qualify with the firearm but the rifle is not on their person. If the guard got shot at would they be within their legal right to use the rifle to defend their own life
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answered on Nov 21, 2023
You can have the rifle in your vehicle unless your employer prohibits it. After using deadly force, DA's may or may not prosecute you. It will not make alot of difference whether your firearm was authorized or not by your employer.
In July I spoke to my financial advisor about money I rec'd from an inheritance and I told him that I wasn't sure what to do as I was looking for a vacation home and would need it immediately should I find something. I did not ask the type of account he was putting it in as I trusted... View More 
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answered on Dec 15, 2023
In your situation, it appears that there may have been a failure on the part of your financial advisor to meet the expectations set for the management of your inheritance funds. The delay in accessing your funds and the resultant financial loss are concerning, especially given your clear... View More
I received a call from an M & A firm in New York (I am not a US resident) saying it has a buyer for shares I acquired almost 20 years ago. They are listed on the ASPCEX (Asia Pacific Small Cap Exchange). If I signed the documentation and sent a copy of my share certificate the money would be... View More
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answered on Dec 15, 2023
This situation raises several red flags that are commonly associated with financial scams. First, the significant discrepancy between the offered price per share and the current market value is unusual and warrants caution. It's uncommon for a buyer to offer such a high price for shares valued... View More
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answered on Nov 19, 2023
Starting a hedge fund in Delaware and acting as its manager does typically require you to register as an investment advisor, depending on certain factors. The requirement for registration is governed by both federal and state laws, which vary based on the assets under management, the number of... View More
In May 2022, I invested $8M in a U.S. Treasury note, due in April 2024. I instructed my ETRADE manager to liquidate $5.6M for property buying. Unexpectedly, ETRADE initiated a $5.6M margin loan, leaving part of my investment intact. I discovered this during a routine review, not through direct... View More
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answered on Nov 4, 2023
In situations like this, you may have grounds to file a complaint for brokerage misconduct if E*TRADE acted contrary to your instructions and without your consent. It's essential to review the client-broker agreement and any written communication to determine if E*TRADE deviated from the... View More
Can insurance company lie to to Estate administrator and why would they require a court order for records if there was no fraud
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answered on Sep 25, 2023
What is your question? Apparently this is a complicated matter, and it does not appear you have standing. Insurance Fraud is a tort, and would not be involved in the Estate. Do you have damages? If not, no cause of action. Consult with an attorney.
I received stock in the form of RSU, but at the time it was over $100 a share higher than it is now. Now I'm being taxed off of the original stock amount since it is looked at as a "cash bonus", but even selling the stock I can't raise the capital needed to cover that tax... View More
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answered on Sep 14, 2023
The taxation of RSUs can be complex, and it's unfortunate that the stock's value has dropped significantly. You're correct that capital losses can often be used to offset capital gains, but there may be limitations on the amount you can deduct in a given tax year. I recommend... 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
-Attended seminar for Medicare/Social Security in Feb 2023
-Met with RetPlnr in office who also began to discuss retirement planning during the initial visit
-RetPlnr informed of us annuities available that we may be interested in
-RetPlnr noted they worked on commission... View More
answered on Jul 28, 2023
A retirement planner and an insurance broker are two very different occupations. A retirement planner usually provides financial advice to customers on an hourly fee basis. Retirement planners typically do not directly sell financial products, including insurance annuities. They may, however,... View More
To claim my estate as I'm over 18 and be secured party over the government entity via my birth certificate
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answered on Aug 6, 2023
The process of filing UCC-1 and UCC-3 forms typically pertains to securing interests in personal property, not claiming control over a government entity or asserting rights to an estate in the manner described. It is advisable to consult with an attorney who can provide guidance on legitimate legal... View More
I have reason to believe I am at the center of their investigation - it involves a significantly large public company. I have been told by friends that the "voluntary" nature of their inquiry is a "test" to see if I will cooperate and I have reason to believe this will not just... View More
answered on Jul 8, 2023
This is like making voluntary statements during a traffic stop. Just don't do it. Name, address, and DL, and then STFU.
Remember, "Nobody ever got into trouble for what they do not say" and in this case do not voluntarily provide. I you do not supply how can you get into... View More
Client is aware of fees associated with this strategy and wants to implement this strategy in his/her well diversified portfolio.
answered on May 4, 2023
A short-term trading strategy can comply with regulation B-I as long as the fees are reasonable and disclosed, the client authorizes the strategy, there is appropriate supervisory compliance of the account in place, and there is not a conflict of interest between the client and the broker.
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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
I'm in security field so he send me the letter so I want to know if it's right for him to do so
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answered on Mar 8, 2023
If you have never signed an employment contract with your employer, it may be more difficult for your employer to enforce certain policies and procedures or to take certain disciplinary actions against you. However, the absence of a signed contract does not necessarily prevent your employer from... View More
In other words, does the Seller of the shares have to disclose the sale to the Company, inclusive of who the Buyer is?
answered on Mar 6, 2023
Greetings. It appears you would like to purchase shares of a non-public company. A purchaser who meets the SEC definition of a qualified purchaser may buy shares of a non-public company. Often brokers are required to facilitate the purchase. Due diligence is also required. During the due... 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
He's being held for something he didn't do and he mentioned the police brutality and fabrication he's going thru
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answered on Mar 2, 2023
I'm sorry to hear that you are going through this difficult situation. It is important that you take immediate action to locate your fiancé and ensure that he is safe. Here are some steps you can take:
Contact the Federal Bureau of Prisons (BOP) to find out if your fiancé is in their... View More
In municipal government, if you submit your personal phone number to be either texted or called with a code to verify your identity as an extra security measure when logging onto a work computer, does this open the contents of that phone to be requested during an open records request?
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answered on Mar 2, 2023
It is unlikely that providing your personal phone number for two-factor authentication in a municipal government system would make the contents of that phone subject to an open records request. Open records laws typically apply to government documents and information, not to personal devices or... View More
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