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Securities Law Questions & Answers

1 Answer | Asked in Landlord - Tenant and Securities Law for Ohio on

Q: Can landlord use security deposit if on a month 2 month and you give notice of moving. And you move within 30days

Joseph Jaap answered on Jun 12, 2019

Tenant is obligated to pay rent on time each month, not skip that last month of rent for landlord to deduct from deposit. If tenant does that, landlord could file for eviction, which is a permanent court record, and can make it difficult for tenant to rent from a landlord who checks.

1 Answer | Asked in Civil Rights, Constitutional Law, Gov & Administrative Law and Securities Law for Oklahoma on

Q: What are the laws and status in Oklahoma concerning surety bonds and ethics

Bruce Alexander Minnick answered on Jun 12, 2019

You have asked two complicated legal questions the answers to which would fill at least six shelves in any law library. Wanna try again?

2 Answers | Asked in Securities Law for California on

Q: I was accused of shoplifting and I saw the security guard placing the "stolen" item underneath my car.

As I was on my way out from the store, opening my car, a security guard stops me and asks me about the jewelry. I tell him I don't have it and that I left them inside the fitting room. I offered to go back inside with him to show him exactly where I placed it and he declines saying "I am not... Read more »

Deanna Besbekos-LaPage Esq. answered on May 20, 2019

This is not a securities law question. I would post under a different category.

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1 Answer | Asked in Securities Law for Kansas on

Q: Hello, I am curious About an Armed Security Officer Position.

Can you Legally have your badge and an open carry weapon when your off duty still? I know some companies are different. But id like to know the legality of it.

Deanna Besbekos-LaPage Esq. answered on May 15, 2019

This is not a a securities law question. I would re-categorize your question to obtain an answer.

1 Answer | Asked in Criminal Law and Securities Law on

Q: What can happen the worst because alarms goes off and I run away?

I decide to shop and instead of this I shoplift things 14£ valueble.When I went out,the alarm goes off and I stared to run away as soon as I left the shop and nobody catch me.The thing is I left my car in park lot and I come back to take it after a while and still nobody catch me.

Bruce Alexander Minnick answered on Apr 29, 2019

Just because you have not (yet) been caught does not mean you will not be caught.

1 Answer | Asked in Securities Law for Tennessee on

Q: What is the age of custodianship termination in TN

I have a ROTH IRA for my minor son and I don’t know what age to put for the custodianship termination.

Anthony M. Avery answered on Apr 1, 2019

You can specify almost any age up to 59 1/2. However most Grantors would end Custodianship and begin withdrawals when the Beneficiary reaches 21, or sometimes later such as 30, 35. It is your decision.

1 Answer | Asked in Securities Law for Nebraska on

Q: Looking at starting a freelance gig where I provide stock data (but not buy/sell advice). Do I need a license to do so?

My freelance gig would provide information (historical value trends, ratios, basic valuation model and what that model believes stock worth is. Also, the report will show what good is (for example, PE Ratio of 10 where average industry pe ratio is 20 or something like the enterprise/operating... Read more »

Bruce Alexander Minnick answered on Apr 1, 2019

Before making a much bigger mistake than the mistake you are trying to avoid, I strongly advise you not to re-publish any proprietary information in any form whatsoever, unless and until you have received the original publisher's written consent--which may require the original publisher to obtain... Read more »

1 Answer | Asked in Real Estate Law, Civil Litigation, Securities Law and White Collar Crime for Texas on

Q: Does an Agreed Order end all disputes between two parties, meaning they cannot rehash it out at another time?

My attorney and my lenders attorney signed an agreed order revoking a substitute trustee sale snd ejoining them from non judicial foreclosure on a certain date. A year after they sell my house. Should the Agreed Order stopped them? Will that fact affect it now because it was supposed to resolve... Read more »

Bruce Alexander Minnick answered on Mar 27, 2019

Before you attempt to assert my answer as being 100% correct, I need to advise you either to read the entire "Agreed Order" and figure it out yourself, or ask your current lawyer, or hire a different Texas lawyer to explain what appears to have happened in your old foreclosure case.

Read more »

1 Answer | Asked in Securities Law and Tax Law for Illinois on

Q: Does investment firm have to refund withholding tax that was withheld in error?

Backdoor Roth Conversion in December requested NO Withholding. Discovered 1st. week of February that they withheld 10% for taxes.

D. Mathew Blackburn answered on Mar 17, 2019

When you file your personal return you add the withheld tax as a credit which will be applied to tax due or refunded.

The investment firm doesn't have the money they sent it to the IRS.

3 Answers | Asked in Consumer Law, Foreclosure, Real Estate Law and Securities Law for Maryland on

Q: Can a settlement agent who signs a loan application also be the notary and witness on a deed of trust.

Seems to be to many roles and a conflict of interest, fraud or unethical. I read somewhere that only an attorney can prepare deeds of trusts.

Richard Sternberg answered on Mar 3, 2019

If the notary is applying for the loan, he cannot notarize his own signature. Almost all settlement agents are notaries. And, notaries can of course be a witness. That’s pretty much what a notary is: a witness to the authenticity of a signature. Maryland Law does require deeds and deeds of trust... Read more »

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1 Answer | Asked in Internet Law, Juvenile Law and Securities Law for Louisiana on

Q: A girl has been harassing me for Months. It’s Feb.28,2019. Can I wait until she turns 18 in April to press charges?

She’s been harassing me through several things. Text, social media’s, and after I blocked her from everything she ask people to rely a message to me. She constantly circles where I’m at in town and I can’t make her leave me alone. I wanna press charges, but there’s no point If they... Read more »

Ellen Cronin Badeaux answered on Feb 28, 2019

She can be charged with a crime as a juvenile.

1 Answer | Asked in Employment Law, Arbitration / Mediation Law and Securities Law for North Carolina on

Q: I'm searching for a NC attorney who can review a financial services consulting agreement.

Review and advise on an IAR agreement.

Timur Akpinar answered on Jan 25, 2019

You could contact the North Carolina Bar Association for assistance. They have an attorney referral service.

Tim Akpinar

Q: Im having issuese with pay and placement with the security company called securitas in los angeles

My paychecks are short , missing or different pay rate. Also i was promise a bouns ... i now have no work beside i believe i asked about my bouns. Hr and their scheduling are no help, they just sent me in circles.

Ronald Mahurin answered on Jan 21, 2019

Unfortunately this is not a workers comp question. I tried to find a way to flag the questions, but there were no options. You need to post in employment law. There is no remedy in workers comp. for what you have described.

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1 Answer | Asked in Securities Law for California on

Q: Would this business require a money transmitter license or be exempt?

Based on FinCen determinations in FIN-2014-R004, R005 and R006, would this business process be considered an exemption from being a money transmitter?

Consumers that want to purchase products/services using cryptocurrency can pay us to make the purchase for them. They identify what they... Read more »

Alan Abergel answered on Jan 11, 2019

You will need to retain an attorney to review your business model to determine if it is subject to FINCEN registration and regulation and/or other financial regulation. You may also be required to obtain a money transmission license from each state or country in which you conduct business and/or... Read more »

2 Answers | Asked in Securities Law for California on

Q: I know that there are federal securities laws, but are there any that are state-specific to California that differ from

the federal ones?

Alan Abergel answered on Dec 11, 2018

There are many California securities laws (corporations code sections and regulations) that differ from federal securities laws.

The Corporate Securities Law of 1968 regulates all offers and sales of securities in California...
Read more »

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1 Answer | Asked in Criminal Law and Securities Law for Oklahoma on

Q: Can they file charges of harborn fugitive or aidn & abedn if they didnt see them w/ defndnt & have no evidnce

They dont know these people know where defendent is they just know that these people are in phone contact with defendent

Keegan Kelley Harroz answered on Dec 3, 2018

Anyone can be charged based upon circumstantial and direct evidence. You need to hire an experienced criminal defense attorney to represent the accused party.

2 Answers | Asked in Securities Law for California on

Q: My broker disappeared after I discovered fraudulent misrepresentations associated with my account. Who do I sue if I

don't know his current whereabouts?

Steve A. Buchwalter answered on Nov 20, 2018

If there is wrongdoing, the brokerage firm he was associated with would be responsible.

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1 Answer | Asked in Securities Law for California on

Q: What do securities lawyers do exactly?

Timur Akpinar answered on Nov 10, 2018

They work with matters involving stocks, bonds, and other financial instruments.

Tim Akpinar

1 Answer | Asked in Securities Law and Tax Law for Florida on

Q: I gained a lot of money when I bought in to BitCoin last summer. I want to take it out before it crashes. Do I have to

pay taxes on it?

Terrence H Thorgaard answered on Oct 29, 2018

Yes, the profit is oncome. Whether it's long term capital gain or not depends upon whether by "last summer" you mean the summer of 2018 or of 2017.

1 Answer | Asked in Securities Law for California on

Q: Can you explain what a "triggering event" is? I keep seeing the term.

T. J. Jesky 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....
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