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2 Answers | Asked in Securities Law for Florida on
Q: What is meant by "This offer to compromise shall not be admissable in any subsequent claim for liability."?

From a Securities firm who wrongly allowed TOD beneficiaries to be removed and the account went to probate

Terrence H Thorgaard
Terrence H Thorgaard answered on Sep 24, 2020

It means that, should you reject the settlement offer, you cannot use the offer as evidence that the defendant did anything wrong.

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1 Answer | Asked in Real Estate Law, Civil Rights, Landlord - Tenant and Securities Law for Ohio on
Q: Apartment manager decided to do a “wellness check” without telling us.. there is a lot 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 »

Joseph Jaap
Joseph Jaap answered on Sep 16, 2020

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.

1 Answer | Asked in Criminal Law, Immigration Law and Securities Law for California on
Q: Can i Immigrate to us or canada having two non felony convictions for fraud?
Dale S. Gribow
Dale S. Gribow answered on Aug 16, 2020

you need to ask this of an Immigration Attorney ..........not a criminal law.

1 Answer | Asked in Securities Law for New York on
Q: Does sending startup pitch decks to investors break Securities law? What should we be aware of?

We are free service that sends decks to investors on behalf of startups that are raising funds.

Investors are a mix of professional investors e.g VCs and angel/HNWI and are all over the USA

Robert W. Pearce
Robert W. Pearce answered on Jul 28, 2020

A pitch book could be considered to be created "in connection with" an "offer" and/or "sale" of securities and subject you to liability under Federal and state securities laws.

1 Answer | Asked in Securities Law on
Q: Is the following considered insider trading?

If I come up with "the best idea since sliced bread" that I am going to present to a publicly traded company, but before contacting them, or even knowing whether they have an interest, I decide to buy stock in that company, is that considered insider trading?

Robert W. Pearce
Robert W. Pearce answered on Jul 28, 2020

If you are not an officer, director or controlling shareholder of the company and have no non-disclosure or other contractual agreement requiring confidentiality or otherwise considered in a fiduciary relationship then it is unlikely you will be deemed an insider.

1 Answer | Asked in Securities Law for Florida on
Q: If I want to start a private investing fund while overseas (SOFA), should I use a Securities lawyer from my home state?

I am a US military contractor interested in running a fund for less than 35 people. Florida resident but mainly live in Japan. I believe registering an LLC in Florida would possibly negate the overseas part of the question.

Bruce Alexander Minnick
Bruce Alexander Minnick answered on Jul 20, 2020

Unless you want to try to create a Japanese company you are going to have to create the investment company in some state; right? So why not do it Florida where you say you are a resident?

FYI: The last time I looked Florida law recognizes "investment clubs" which look like...
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1 Answer | Asked in Bankruptcy, Securities Law and Stockbroker Fraud for Delaware on
Q: I'm wondering how to get an injunction to stop a bankruptcy recently filed in Delaware by Vivus, Inc.

The creditor (IEH) with the collusion of management is grossly undervaluing assets (3 separate FDA approved drugs and one pipeline drug) more properly valued at $500M. Management was to have refinanced the $170M debt already but due to gross negligence or complicity with creditor failed to do so.... Read more »

David Luther Woodward
David Luther Woodward answered on Jul 14, 2020

Firstly, a forum like this is an inadequate place to answer a complex question such as yours.

If you--and other stockholders--are aggrieved then you need to hire your own lawyer to appear on your behalf to address the issues. There is no way to enjoin the progress of a bankruptcy--only to...
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1 Answer | Asked in Securities Law for California on
Q: Can you get sued for using a video you recorded in your house as evidence because the person did not consent to it?

My girlfriend wants to know if she could possibly get sued. She is currently in the process of getting a restraining order against her brother so she’s gathering all of her evidence. Part of the evidence she wants to use is a video she recorded in their home in which the two of them were arguing... Read more »

Maurice Mandel II
Maurice Mandel II answered on Jul 6, 2020

Your girlfriend needs to ask her own questions. The substance of this question is whether the video you describe comes under the prohibition against "wiretaps". A wiretap is a recording made where one of the two or more people does not know it is being made. Since you state "he saw... Read more »

1 Answer | Asked in Securities Law for California on
Q: Do I have to "serve" Interrogatories and answers to them; requests for documents and answers to them?

I read that it is not necessary to file these with the court

Maurice Mandel II
Maurice Mandel II answered on Jun 27, 2020

You have to "serve" the interrogatories (written questions) you are asking and you have to serve the answers to the ones you were asked. "Service" is usually done electronically today, in pdf format. Your interrogatories and your answers need to have a proof of service... Read more »

1 Answer | Asked in Consumer Law, Internet Law and Securities Law for Florida on
Q: I believe I am eligible for this 5000$

I was looking at medical sites for a skin cream

as well a 3d render application without Google recommended also you should just know this site po*nhub all my data was saved and when i went back on to the site i was still getting recommended yeah i know of all things i metion is this but i... Read more »

Adam Savett
Adam Savett answered on Jun 9, 2020

This is a brand new case that was just filed last week.

There is no settlement, no judgement, nothing to claim at this point.

Class action cases take time, often 2-5 years from the time they are filed until they are resolved.

And there is no guarantee that the case will be...
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1 Answer | Asked in Securities Law and Stockbroker Fraud for Florida on
Q: question about advisory

Can I make membership based content (for instance on and share my stock market trading signals that I use to buy/sell with disclaimer that I am not investment/financial advisor, will I be under the risk of penalty?

Bruce Alexander Minnick
Bruce Alexander Minnick answered on May 26, 2020

The area of law you are flirting with is fraught with great danger; those who do not retain an experienced lawyer BEFORE stepping into the line of fire very often greatly regret doing so. Advising the public on how to buy and sell securities is the job that licensed stock brokers and brokerage... Read more »

1 Answer | Asked in Business Formation, Business Law and Securities Law for California on
Q: Starting an equities investment club in California. Will create a CA LLC and an online brokerage account for trading.

We are going to pool our money into a single brokerage account. The account will be managed by one person who does not have a securities license. Is this ok?

Also, the members of the club would like to compensate the person who will be managing the account, keeping the records, etc. Is... Read more »

Bruce Alexander Minnick
Bruce Alexander Minnick answered on May 14, 2020

Unless everything you are planning to do can be fit under the statutory heading of "Investment Clubs" (assuming California allows them) you and the trader who is making money are looking for big-time trouble.

2 Answers | Asked in Employment Law and Securities Law for Oregon on
Q: Oregon. 40 hr as security, no breaks. Sup said he would take away our ability to sit as punishment. Legal or not?

Sup said bc people were putting their feet up on the desk, he would take away all chairs so we would have to stand for 8-12 hrs at a time. We do not get any breaks, no meal time or anything. We eat as we are working if we have time and often going to the bathroom we get angry people wanting to... Read more »

Mr. Michael O. Stevens
Mr. Michael O. Stevens answered on May 12, 2020

There might be an OSHA regulation that requires chairs, so you might contact BOLI as they enforce OSHA. They also enforce the breaks and lunches, or lack thereof. If the employer also did not pay you for the lunch time, you may have a wage claim/overtime claim. As in, if your shift is 8 hours long,... Read more »

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1 Answer | Asked in Securities Law on
Q: Hello, my property law coursework includes a question on floating charges and how other securities rank with it.

specifically the question is about a company that went into liquidation, and the company assigned a debt to a third party, and I cannot find a clear answer on whether it ranks before a floating charge.

Bruce Alexander Minnick
Bruce Alexander Minnick answered on May 10, 2020

You are on your own.

1 Answer | Asked in Securities Law and Stockbroker Fraud for Texas on
Q: When Transfer my IRA plan to my new employer retirement, about 30 thousand dollars were missing . I need legal advice
Ross B. Intelisano
Ross B. Intelisano answered on May 1, 2020

That's terrible. I recommend that you find an attorney in Texas to help you. There is an organization called PIABA made up of lawyers who represent investors. Here is the website. You can search for a local lawyer on the website. Good luck.

1 Answer | Asked in Business Formation, Business Law and Securities Law for Texas on
Q: How do I obtain a copy of my public record in Walker County Texas; Doc no. 00025169 vol no 01248 page no. 00354?

I need to refile this in the Texas Secretary of State.... I need Instructions how to transfer this into the UCC Financial Filing Dept.

Tri Minh Nguyen
Tri Minh Nguyen answered on Apr 29, 2020

The recording information looks like it's a real property recording. You can pull the information here:

Good luck.

1 Answer | Asked in Real Estate Law, Landlord - Tenant and Securities Law for Indiana on
Q: can my landloard record audio out side my front door with out my consent im in bluffton IN
Paul Stanko
Paul Stanko answered on Apr 19, 2020

Basically, a person can record anything that he or she was privileged to hear in the first place. If the landlord was in a place he was entitled to be, he can record whatever he was entitled to hear.

1 Answer | Asked in Education Law, Intellectual Property and Securities Law for Pennsylvania on
Q: If I left my stuff at a boarding school, and they threw my stuff away. Am I allowed to sue them for it? Usa. PA
Peter N. Munsing
Peter N. Munsing answered on Apr 17, 2020

If they had a stated policy that things left would be disposed of they can do that. A bit tacky, but they could.

Contact the Education Law Center about your rights.

1 Answer | Asked in Employment Law and Securities Law for Arkansas on
Q: is it a violation on HIPAA to comment on a Facebook and mention that a co-worker of mine who may be sick

I included our. place of work but no details about the individual. It was unknowingly because I am not aware of HIPAA laws. I was also fired for this. I am now afraid legal action will be taken

Jarred Kibbey
Jarred Kibbey answered on Mar 30, 2020

I would need more information to determine if it was a HIPAA violation. Specifically, what kind of work were you engaged in? Also, there is no private right of action in HIPAA, so even if you violated HIPAA laws, your employer or former co-worker could not use HIPAA as a basis for legal action.... Read more »

1 Answer | Asked in Employment Discrimination and Securities Law for California on
Q: I understand that If a private company uses a unlicensed agent to raise assets, that's an SEC violation.

However, is there anything in it for me to turn the company in?

The company has gone from zero value to $85 million in value and used me, a misclassified independent consultant, to raise money for them. I am going after the company based on being misclassified. But, could I receive... Read more »

Louis George Fazzi
Louis George Fazzi answered on Mar 24, 2020

In my opinion, there is nothing in it for you. The whistleblower statute was created as an incentive for people to report fraud on the government, or waste of government assets or expenditures. I don’t see that in this situation.

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