Get free answers to your Securities Law legal questions from lawyers in your area.
answered on Nov 10, 2018
They work with matters involving stocks, bonds, and other financial instruments.
Tim Akpinar
answered on Oct 20, 2018
A triggering event refers to an occurrence that, once breached or met, it causes another event to take place. Triggering events are written into contracts to prevent or ensure that if something happens the next event will happen.
For example, you want to buy a newspaper at a news stand.... View More 
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Sep 14, 2018
If your options are in the money, you may want to exercise them. If a stockbroker recommended the options without warning you about the companies financial condition, you may be able to sue. You'll need to talk to an attorney.
www.securitieslaw-attorney.com
answered on Sep 12, 2018
When a Company issues shares, the "corporate formally" to do so, is a Board Resolution. In other words, it is the Board of Directors through a Board Resolution that authorizes the issuance of shares from the Corporate Treasury. It is not the officers but the Board of Directors who have... View More
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Jul 17, 2018
Gather all your documents and put them is a safe place. Call an attorney to go over your case. Any attorney you talk to may ask you to write up a narrative (your story) as to what happened. It may be a good idea to start on that.
A tax lien was placed on my assets, then released, without my knowledge. My new employer wants me to have this recorded on my U4. Is there any way I can keep it off my U4?
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Apr 25, 2018
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
all?
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Apr 25, 2018
The SEC does not regulate bitcoin. As far as I know, nobody does.
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Apr 25, 2018
Yes. They are required to disclose such things. You can check for yourself if you go to www.finra.org and type your broker's name in the "Brokercheck" box.
Lawyers, want to be a Justia Connect Pro too? Learn more ›
answered on Apr 25, 2018
You can go after his firm. If there is a fraud, the broker's firm would be responsible.
She took out and defaulted on 4 loans using the account as collateral so the bank is wanting to pay off the loans and then split the remainder.
answered on Apr 2, 2018
need more facts
the first thing i would do is to contact the lawyer who worked on the divorce.
she appears to be in default of a court order.
you may have to go back to court to ask court to find her in contempt
if you did not retain a family law atty do so as that is not my area of law.
specifically in terms of what they can or cannot do with startup capital.
answered on Mar 22, 2018
More information is needed to answer your question. Most VC firms manage funds they create using investors money. In creating those funds they have to comply with SEC rules as well as state rules to the extent they apply. As to the use of the funds that is dictated by the terms of the fund and the... View More
I have a brother in prison who is trying to manipulate father. By drawing up his own version of will and presenting it to him
answered on Feb 2, 2018
When a beneficiary is named on a financial account, those assets are transferred to the beneficiary when the beneficiary presents a death certificate. A will cannot change a beneficiary designation.
My ex wife is claiming that while she said in an email that she would return my computer after she backed up her files, I had previously told her via text that she should keep the hard drives. Her intent is to access the hard drives' data, including ten years worth of my data, and copy... View More
answered on Jan 31, 2018
if you gave it to her you probably should have thought of that then.
you can contact a lawyer to send a demand letter for the return of the drive.
answered on Jan 18, 2018
the issue kicks in when they are having sex? if so then it is stat rape
Do securities laws apply to the sale of stock to friends/family?
answered on Dec 20, 2017
Good question. The short answer is "yes." Some of the federal and state securities laws apply to all equity investments regardless of the status of the investor.
However, some investments are exempt from registration, which simplifies things and saves costs. For example,... View More
other stockholders for the purposes of a class action suit?
answered on Nov 11, 2017
You need to consult with a law firm which handles class actions.
California S Corp. I'm a co founder looking for a simple draft that give someone equity in return for performance based on milestones set forth by my terms of the deal. Total allowable equity would be 5% in the form of Preferred Stock. (non voting)
answered on Oct 21, 2017
You can do an employment agreement or consulting agreement with this person, assuming that you've already issued shares.
A full consultation would be necessary to properly advise you.
The ceo, is a US citizen and resides in California; the BVI Corp will get registered in California as a foreign business; the business was incorporated in BVI and we DO NOT SELL Tokens to citizens from USA, CHINA or CANADA. Would this startup still be in violation of any USA securities law if we... View More
answered on Oct 5, 2017
This is a complex question which is not suitable for a quick and free response on an anonymous internet forum. Hire a securities/tax attorney for a full analysis.
Back in 1996 or 95 my grandfather passed away and left some stock to be divided between his 7 adult children my father passed away in 1974 that left me next of kin recently found out that my oldest Aunt forged my signature cashed out the stock and spent the money I never received a dime for the any... View More
answered on Sep 18, 2017
You need to talk to a Probate Attorney to find out the timelines necessary to bring this type of claim. As I understand it, the claim would be on behalf of your father's estate against your aunt. There is a 3 year statute of limitations on fraud (Code of Civil Procedure section 338(d)), but... View More
If yes how much is rate now? also in our lease agreement doesn't say anything about paying interest to security deposit.
thank you
answered on Jul 24, 2017
Generally, security deposits are returned without interest. Deposits are placed to cover possible damage. Deposits are not an investment.
Justia Ask a Lawyer is a forum for consumers to get answers to basic legal questions. Any information sent through Justia Ask a Lawyer is not secure and is done so on a non-confidential basis only.
The use of this website to ask questions or receive answers does not create an attorney–client relationship between you and Justia, or between you and any attorney who receives your information or responds to your questions, nor is it intended to create such a relationship. Additionally, no responses on this forum constitute legal advice, which must be tailored to the specific circumstances of each case. You should not act upon information provided in Justia Ask a Lawyer without seeking professional counsel from an attorney admitted or authorized to practice in your jurisdiction. Justia assumes no responsibility to any person who relies on information contained on or received through this site and disclaims all liability in respect to such information.
Justia cannot guarantee that the information on this website (including any legal information provided by an attorney through this service) is accurate, complete, or up-to-date. While we intend to make every attempt to keep the information on this site current, the owners of and contributors to this site make no claims, promises or guarantees about the accuracy, completeness or adequacy of the information contained in or linked to from this site.
