Securities Law Questions & Answers by State
- Alabama
- Alaska
- Arizona
- Arkansas
- California
- Colorado
- Connecticut
- Delaware
- District of Columbia
- Florida
- Georgia
- Hawaii
- Idaho
- Illinois
- Indiana
- Iowa
- Kansas
- Kentucky
- Louisiana
- Maine
- Maryland
- Massachusetts
- Michigan
- Minnesota
- Mississippi
- Missouri
- Montana
- Nebraska
- Nevada
- New Hampshire
- New Jersey
- New Mexico
- New York
- North Carolina
- North Dakota
- Ohio
- Oklahoma
- Oregon
- Pennsylvania
- Puerto Rico
- Rhode Island
- South Carolina
- South Dakota
- Tennessee
- Texas
- Utah
- Vermont
- Virginia
- Washington
- West Virginia
- Wisconsin
- Wyoming
Securities Law Questions & Answers
Q: Please. Ask your questions here
1 Answer
| Asked
in
Bankruptcy, Consumer Law, Family Law and Securities Law
on
Answered on Aug 8, 2018
Answered on Aug 8, 2018
Q: I was recently adjudicated as guilty after pleading nolo contendre in a Topeka Kansas District court case involving
Mark Oakley's answer
You need to have an experienced federal criminal defense attorney admitted to practice before the US Court of Appeals for the 10th Circuit. The attorney will do all the legal research. Most criminal defense counsel who practice in the federal courts will either handle appeals or will know others to refer you to.
You need to have an experienced federal criminal defense attorney admitted to practice before the US Court of Appeals for the 10th Circuit. The attorney will do all the legal research. Most criminal defense counsel who practice in the federal courts will either handle appeals or will know others to refer you to.
Q: What's the very first thing I should do if I have believe I have a securities claim?
Steve A. Buchwalter's answer
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.
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.
Q: Hello I have a negative balance due to a margin call with an offshore stockbroker, am I liable for the negative balance?
Camille Brooks Ibrahim's answer
Depending on the specific account guidelines and contractually binding terms will determine if a breach of contract is pursuable. If it was not contractually then you should be ok
Depending on the specific account guidelines and contractually binding terms will determine if a breach of contract is pursuable. If it was not contractually then you should be ok
Q: At a restaurant where there was an altercation between a group of friends and security guard giving a parking ticket
Juan Ooink's answer
Your friend needs to sit down with a Civil Attorney to find out if there is something here and they should do so right away.
Your friend needs to sit down with a Civil Attorney to find out if there is something here and they should do so right away.
Q: If I forward money from a Singapore entity to a US Client, would the Singapore entity need any licenses?
1 Answer
| Asked
in
Banking, Business Law, International Law and Securities Law
on
Answered on Jun 9, 2018
Answered on Jun 9, 2018
Richard Sternberg's answer
From whom? For what? It is not illegal and no licenses are required by US law to transfer money to a US entity or person, but there may be issues in Singapore or issues involving other aspects of the transaction. If I’m doubt, run the transaction past a lawyer in a consult. Often, consults can be purchased as independent services.
From whom? For what? It is not illegal and no licenses are required by US law to transfer money to a US entity or person, but there may be issues in Singapore or issues involving other aspects of the transaction. If I’m doubt, run the transaction past a lawyer in a consult. Often, consults can be purchased as independent services.
Q: Does US law specify a minimum gross margin on "related party" transactions?
Eric Steven Day's answer
when you sell a piece of property to a related party cheaper, the IRS may make the property ordinary again to the u.s. company/individual. Also, you cannot sell the property to a related property and claim a loss on the sale.
when you sell a piece of property to a related party cheaper, the IRS may make the property ordinary again to the u.s. company/individual. Also, you cannot sell the property to a related property and claim a loss on the sale.
Q: False report of a crime. Unlawful. Conduct.
1 Answer
| Asked
in
Civil Rights, Communications Law, Constitutional Law and Securities Law
for
Georgia
on
Answered on May 29, 2018
Answered on May 29, 2018
Q: 18 year old who has a bank account under my name only.Is it invasion of privacy if your parents look into your checkbook
Leonard R. Boyer's answer
They are your parents, and you live in their home, and they support you, so the answer is NO.
If you want to keep your checkbook private, then buy a locking strong box and have your mail sent to a P.O. Box.
They are your parents, and you live in their home, and they support you, so the answer is NO.
If you want to keep your checkbook private, then buy a locking strong box and have your mail sent to a P.O. Box.
Q: How can I lift unjustifed 10years USA ban.
2 Answers
| Asked
in
Immigration Law, Native American Law, Securities Law and Social Security
on
Answered on May 3, 2018
Answered on May 3, 2018
Hector E. Quiroga's answer
You can try contacting the DHS Traveler Redress Inquiry Program at the following email address: https://www.dhs.gov/dhs-trip
You can try contacting the DHS Traveler Redress Inquiry Program at the following email address: https://www.dhs.gov/dhs-trip
Q: Here it is. At 3 am Saturday morning my vehicle was towed. I didn't have sticker on was charged 280$ how can I fight it?
1 Answer
| Asked
in
Appeals / Appellate Law, Civil Rights, Securities Law and Small Claims
for
New Hampshire
on
Answered on Apr 30, 2018
Answered on Apr 30, 2018
Joseph Kelly Levasseur's answer
This is not a civil rights issue. If it wasn't registered then the owner of the property has rights. You should have notified them about your car being on the property without an inspection sticker. If you can prove they knew it was your car and you were there legally you may have an argument, but some of these lots are patrolled by tow companies that look out for these types of cars and remove them.
This is not a civil rights issue. If it wasn't registered then the owner of the property has rights. You should have notified them about your car being on the property without an inspection sticker. If you can prove they knew it was your car and you were there legally you may have an argument, but some of these lots are patrolled by tow companies that look out for these types of cars and remove them.
Q: Can I sue if I was injured by a store employee
Steve McCann's answer
You can certainly file a lawsuit based on the facts provided, but the viability of prevailing and recovering on the lawsuit are dependent on specific facts that are not provided here, such as the nature of you getting dragged out and if you were resisting with the individual.
That said, I recommend organizing everything in your possession related to this matter, including and pictures, videos, and reports, and consulting with an attorney individually. Many of us offer free...
You can certainly file a lawsuit based on the facts provided, but the viability of prevailing and recovering on the lawsuit are dependent on specific facts that are not provided here, such as the nature of you getting dragged out and if you were resisting with the individual.
That said, I recommend organizing everything in your possession related to this matter, including and pictures, videos, and reports, and consulting with an attorney individually. Many of us offer free...
Q: How long does a Florida fired property manager have to transfer tenant security back to me?
2 Answers
| Asked
in
Landlord - Tenant, Real Estate Law and Securities Law
for
Florida
on
Answered on Apr 29, 2018
Answered on Apr 29, 2018
Jonathan A. Klurfeld's answer
Your contract governs, and if drafted correctly should state how long upon termination or lease ends PM has to send you money and by what method. There is nothing in the law (statutes) about this.
Your contract governs, and if drafted correctly should state how long upon termination or lease ends PM has to send you money and by what method. There is nothing in the law (statutes) about this.
Q: I am a FINRA registered representative with several securities licenses and had a tax lien.
Steve A. Buchwalter's answer
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
Yes. Pursuant to question 14m on the form U4, only unsatisfied liens need to be reported.
Q: If I ask my broker if he's been previously sued for securities fraud, must he tell me the truth?
Steve A. Buchwalter's answer
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.
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.
Q: What should I do if I believe I have a valid securities fraud claim, and my broker has gone totally MIA?
Steve A. Buchwalter's answer
You can go after his firm. If there is a fraud, the broker's firm would be responsible.
You can go after his firm. If there is a fraud, the broker's firm would be responsible.
Q: My broker misrepresented several things to me that I luckily realized before I lost any money. Can I still sue him?
Steve McCann's answer
Yes, it is certainly possible you have a viable cause of action against your broker, but the chances of obtaining a judgment and recovering on that judgment is dependent on very specific facts that are not provided here, such as details of any contracts you have signed with the broker, and the specificity of the misrepresentations made. That being the case, I highly recommend organizing everything in your possession related to this matter, including all contracts signed and all evidence of...
Yes, it is certainly possible you have a viable cause of action against your broker, but the chances of obtaining a judgment and recovering on that judgment is dependent on very specific facts that are not provided here, such as details of any contracts you have signed with the broker, and the specificity of the misrepresentations made. That being the case, I highly recommend organizing everything in your possession related to this matter, including all contracts signed and all evidence of...
Q: i was awarded half of my wife's 403.b in our divorce. Now she won't sign the bank papers to do the split. What can i do?
1 Answer
| Asked
in
Criminal Law, Divorce and Securities Law
for
California
on
Answered on Apr 2, 2018
Answered on Apr 2, 2018
Dale S. Gribow's answer
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.
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.
Q: If I’m not allowed in a home but someone living there allows me to come in is that illegal?
2 Answers
| Asked
in
Criminal Law, International Law and Securities Law
for
Texas
on
Answered on Feb 19, 2018
Answered on Feb 19, 2018
Grant St Julian III's answer
The owner of the property has the authority. In your situation, it is possible you could be charged with criminal trespass or stalking if you continue to appear at the home. A protective order could also be issued against you, and if you violate the terms of said order, felony charges could be filed. Your girlfriend does not have the authority to give you permission to appear.
The owner of the property has the authority. In your situation, it is possible you could be charged with criminal trespass or stalking if you continue to appear at the home. A protective order could also be issued against you, and if you violate the terms of said order, felony charges could be filed. Your girlfriend does not have the authority to give you permission to appear.
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.
