He has called the police on my son before told them he was banging on his house. But it wasn't him because everyone was sick and inside the whole day. At this point i feel like it is harassment and invasion of my privacy.
Max penalty the country of origin for it is 2 years but expected penalty is few months or community service. convicted person is 3rd party to the company (not an insider, not directly connected with an insider). Is it possible to get a waiver? convicted person also has a Masters degree from top 5... Read more »
You should have an experienced immigration attorney review the record. If this is an Aggravated Felony you may be exclded and no waiver may be available at least for some years. If this is a CIMT you may be eligible to file a waiver. If you are aligible for a waiver you will need to meet the...Read more »
The company disclosed a slide that was released 2 months after and also heavily inclined about in an investor conference 2 weeks after. Does trading on the expectation of the release of something described in the slide is legal in this time period?
The SEC may deem this "selective" or "privileged" disclosure, which would fall under the umbrella of insider trading. The concern here is the fact that it's an invite-only event, and SEC rules tend to distinguish between open settings and those to which "the little...Read more »
Section 265.01 prohibits gravity knives and switchblades or any knife intended to be used against another. It does not fro hi it Foldable knives or pocket knives. There is no specific prohibition of a felon in possession. That is limited to guns of any type possessed by a felon which is prohibited...Read more »
I own warrants to purchase 2000 shares of a US based pre-IPO company. They recently did a 10:1 stock split. Should the number of shares (and exercise price) increase in my warrants to reflect the split?
I want to be able to have money for my retirement or to leave to my children when I pass away with the New president election for 2020 im afraid I will loss all the money put into my social security over the years and im not willing to risk that because are new president wants to change are... Read more »
Hi, good night I have a question and would like to know something about a problem with a friend, which is that a friend thinks of getting a fake SSN and green card for work purpose but he thinks of changing his name and birthday but he had a picture with a fake green card and I would like to know... Read more »
First, I hope your friend is not you. Of course this is fraud. Yes, if caught this would adversely affect his immigration status. And, if this is really a friend, and not you, you may be an accomplice to this fraud. Don't do it!
It is not "illegal" to share your login credentials, but it is likely a violation of your brokerage account agreement. Most brokerage account agreements contain language that says you agree you will not share your login information with a third party. So, it could be a breach of your...Read more »
I own a options trading website where I provide trade ideas of specific stock tickers based on fundamental and technical analysis. I charge subscribers monthly fees. I do not provide investment advice of any sort, just trade ideas of good stock setups. I don’t tell my subscribers what to do from... Read more »
Given the facts at hand, you appear to be on the right track. A seminal case is Lowe v. SEC, 472 U.S. 181 (1985), which essentially declared that an exclusion from the definition of investment adviser is available to any publisher of a newsletter as long as remains entirely impersonal and does not...Read more »
First, this is not a "Securities law" question, and your question will not go to the correct attorneys for an answer, see, you get me! This is Family Law or Probate. But the quick answer is that once you divorced him in 2014, all rights you had to any aspect of his estate were...Read more »
I have my 401K and a 529 account with Charles Schwab. I opened a new acct on the 25th of Sept to attempt to trade. On the 6th they blocked my account for "fraudulent" reasons and the investigative team we supposed to call back within 48 hrs to discuss the matter. After several calls for... Read more »
You need to put them on Notice in writing of your objection to the freeze, remind them you have open positions and your intention to sue them for any and all damages unless they take your orders and unfreeze the account or hire an attorney to do that immediately.
Both of you have the responsibility to make sure the IARD is accurate but you are the one that may have consequences. Go to the SEC website for the forms and guidance. https://www.sec.gov/divisions/investment/iard/iardfaq.shtml
We discovered in 2016 our house was foreclosed back in 2011 by the bank that issued our builder's loan. This has robbed us access to our equity and the consideration upon signing the contract to begin with. We are still living in the house. Is the contract void? What are our rights?
Wanted to know because I'm looking to open a partnership or llc. No financial advice will be given to partners or members. One person would do all the transactions on behalf of company. This is for investment purposes.
If the transactions are by the Managing Member or General Partner for and only on behalf of the company in only its private securities account and the company is not in the business of just buying and selling securities as a Broker or Dealer then in my opinion no registration would be required.
You can only sue under the Federal securities laws if you were sold a security. The test commonly used by the courts to decide whether you were sold a security is known as the Howey Test. If you were the only investor who made a loan for a specific return of interest it's unlikely you were...Read more »
Manager entered our apartment with any form on contact before doing so while my wife was asleep naked and daughter was sleeping. Got to the bedroom door before announcing himself and my wife freaked out and tried to cover up as quickly as possible, he proceeded to stand there and stare at her while... Read more »
You can file a police report, but they are unlikely to do anything. You could sue the apartment owner for trespass. Talk to the owner about the manager's unauthorized entry. Put an interior lock on the door.
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