Get free answers to your Securities Law legal questions from lawyers in your area.
Your current state is Ohio
Back in October, I started a rollover IRA with my previous employer’s retirement services company, OneAmerica. Unfortunately, OneAmerica sent the checks (payable to Fidelity FBO w my name on them) to an incorrect PO BOX (1 number off). These checks were electronically deposited by the owner of... View More 
answered on Dec 29, 2021
You may have more trouble getting your rollover IRA money back than you had hoped. Why?
Because it was deposited electronically (without prejudice) and credited to some unknown person's account at Wells Fargo Bank, N.A., which is notorious for holding onto money not supposed to be... View More
Car was broken into, I made a police report, thought the cameras on the premises worked... turns out they have been broken for years, with no plan to fix them and to keep them as a "deterrent" even though they are hidden
answered on Dec 20, 2021
Not sure you have a cause of action against the apartment complex. Generally, others are not responsible for others' criminal actions. And unless they had some sort of affirmative duty to provide for this security, they will likely not be liable.
Hello! I am so grateful for this platform because I have no one to talk to about this. I work for a transportation company overnight as a dispatcher. Since August we had 5-6 intruders on our premises. Thankfully no one got hurt but I was very close up to one and it was scary. Recently, our HR added... View More
answered on Dec 14, 2021
A lawsuit is not going to get you what you need right now.
You cannot sue your employer for exposing you to danger. If you face injury you file a workers compensation claim.
If you have workplace safety issues, you can try reporting the conditions to OSHA who promulgates workplace... View More
answered on Oct 20, 2021
No! But the LL must return the security deposit promptly with 30 days or be subject to penalties. Speak to a local Fort Lee, NJ real estate attorney for details.
Purchased a vehicle yesterday, submitted proof of income (check stubs) as well as contact information to my corporate office to verify employment. Finance company contacts me to say no one was answering the phone at corporate, so I gave her an email address to send the verification. With the... View More
answered on Oct 15, 2021
While I agree that they sent more information than was probably necessary, you don't have any apparent damages as a result of this action, and no claim arises from the facts you describe.
answered on Sep 7, 2021
Georgia is known as a single party consent state. That means that as long as one person in the conversation is aware it is being recorded then it is a proper and legal recording. There are States like Florida which require all parties know and consent to the recording.
To prevent anymore interference on his part to make him stop interfering in my contract that he has already made a mess of. He was told in Dec2020 that he is not part of our real estate contract and not to attempt to speak on our buyers behalf. I do not know this person and he has now levied my... View More
answered on Sep 5, 2021
Restraining him won't resolve the lien. Meet with an attorney to discuss the actual situation and allow the attorney to ask questions. Only in this way will you find a way through your problems.
We have been going to them for over a year with zero complaints. The manager says my dog hurt himself. They were rude and refuse to help me understand. We took him to a vet and the vet confirmed he was strangled to death. The company refuses to show me the video footage from today that would prove... View More
answered on Aug 17, 2021
You would need to sue them and then as part of the suit demand to see all videos that they took of your dog that day.
We are a holdings company with many daughter-brands, each an independent venture, but only the holdings company is a registered LLC. We’d like to sell royalties (percentage of the profit) from these ventures in a crowdfunding campaign. Is that legal?
answered on Jul 6, 2021
Selling royalties to passive investors takes you into the realm of securities regulation, and this would have to be a registered offering or have an exemption from registration. For crowd funding, most offerings will utilize 506(c) which allows general solicitation but requires investors to be... View More
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answered on Jun 23, 2021
There is no legal trading of any securities without a valid license for the appropriate security. If you do not have the right license for example to trade futures, and you do, then you have a serious problem. Don't do it!
to control a combative/ assaultive individual who has or attempted to cause physical bodily harm to the guard/ officer or on another person. or is in the act of destruction of property where the security guard/officer is there to protect?
answered on Jun 18, 2021
A security guard is authorized to use the same degree of force as anyone else. In other words being a security guard means that a person may use force that is reasonable to protect a person or property. Handcuffs do not require a license and are not considered deadly force. If a security person... View More
Wasn't in casino took dog out to potty security approached ?about my Id in witch I had none boyfriend did .I was demanded to leave in a direction I did know at all I explained I'm not going that way and I'm going back inside to buy breakfast and then I was going to leave I... View More
answered on Jun 1, 2021
Contact a member of the Consumer Attorneys of California (CAOC)--they give free consults. It's possible you have a case though I'm not sure if it is likely to cover the costs of bringing it.
The company refuses to lift restrictions on sale from the shares I inherited from my father who was an executive. They do not provide justification, looks like it is a bad faith to force me to sell the stock through them at a much lower price.
Father passed away 10 years ago after he... View More
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answered on May 30, 2021
The answer to your question is most likely no. Corporations are subject to very strict laws regarding the issuance of stock to non-insiders. Public offerings are extremely expensive. Even private offerings must be done in accordance with strict rules requiring certain minimum disclosures and... View More
SEC rule 506(c) mandates only accredited investors are eligible to contribute to the funds. So can non-accredited investor form an LLC to obtain accredited status? If yes, what are the terms and conditions that one should be aware off?
answered on Apr 18, 2021
Either you are accredited or not! The issuer is not going to risk losing a safe-harbor exemption for registration to take on an unaccredited investor. And they it tells you otherwise, watch out!!
See how I can go about resolving this where I dont go to jail
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answered on Apr 10, 2021
If you believe you are under investigation for fraud by the Social Security Administration then you need to consult with a criminal law attorney who is experienced with federal fraud cases. They will be able to help you determine if you are actually under investigation and can advise you about... View More
He had them facing are building and was told by management to face them in common area and that he could not have cameras on the outside. He took it down but hide it on his balcony in a wreath on that he hung on the storage closet door. He is using them to tattle on anyone walking their dog that... View More
answered on Apr 8, 2021
If you feel strongly about this issue, you can bring a lawsuit against the neighbor in the court in which the premises is located.
The person I referred lost money. I did not receive any money from the person I referred or the investor.
answered on Mar 26, 2021
There are attorneys on this board who are knowledgeable in securities-related matters who could best advise, but your post remains open for two weeks. As a GENERAL premise, for someone to be liable for scamming or defrauding someone, it usually has to be shown that they had an intent to deceive or... View More
Using for a project but they denied my request because they said it violates security protocols.
answered on Mar 10, 2021
Sure, you're allowed to ask, and they are allowed to say no.
Are the applicable Alaska securities registration statutes and rules those found in Alaska statutes section 45.56.110 (2019) and Alaska statutes section 45.56 120 (2019)?
answered on Mar 9, 2021
They are exempt from the Federal securities registration statutes and rules but still subject to the Alaska securities registration statutes and rules.
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