Get free answers to your Securities Law legal questions from lawyers in your area.
Does it have any financial value?
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answered on Feb 5, 2025
Go the the court clerk's office with your case number and request copies. It would probably be prohibitively expensive to obtain certified copies of each document in your file, and there is likely no reason to obtain certified copies of each document. It is highly unlikely that the documents... View More
they are also named in a deceased family member.
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answered on Dec 2, 2024
I assume the shares are not of a publicly traded corporation like McDonald's or Microsoft. So, you just can't look them up and sell them. How shares are bought and sold are likely restricted by the corporation's bylaws. You will need to contact the corporation to find out your rights... View More
How does someone obtain the court call Log for ? Is a Subpoena required ?
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answered on May 25, 2024
Under California law, remote appearance and court call records are generally considered part of the official court record. However, public access to these records may be limited and vary depending on the specific court and type of case.
To obtain the court call log, you typically have two... View More
The ins company had to know or at very least became aware of the fact service of Notice of Rescission prior to exercising rescission is a California statutory requirement,"no Notice, no rescission." Americo was repeatedly asked to provide the citation, code or case law relied on to... View More
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answered on May 22, 2024
Based on the information provided, it seems that the insurance company (Americo) rescinded changes made by the policy owner through a Power of Attorney (POA) without properly serving a Notice of Rescission as required under California law. This action by the insurance company could potentially give... View More
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answered on Apr 11, 2024
To stay updated on the USA vs Hewko case (2:19-cv-09736-FLA-AFM), you have a few options:
1. PACER (Public Access to Court Electronic Records): As one of the investors in the case, you can register for a PACER account at https://pacer.uscourts.gov/. This will allow you to access case... View More
I am opening an account and want to get approved for this certain level of options trading; they only approve if you declare a good income and net worth; is it illegal to lie about the net worth and income?
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answered on Feb 21, 2024
Misrepresenting your net worth and income on an application for a brokerage account, especially with the intent to gain approval for certain trading options, can have serious legal consequences. Under California law, providing false information on financial documents like brokerage account... View More
hvm
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answered on Jan 30, 2024
Receiving a Wells Notice in Los Angeles indicates that the Securities and Exchange Commission (SEC) is considering enforcement action against you or your business. This notice is a serious matter and typically precedes formal charges. It gives you the opportunity to present your side of the story... View More
A neighbor across from us is nosey and opens their lights whenever we do. Can I put a security sticker in my personal bedroom window as a form of safety?
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answered on Nov 29, 2023
Yes, you can typically put a security sticker on your personal bedroom window in California. There are no specific laws or regulations in California that prohibit homeowners from placing security stickers on their windows. Security stickers are often used as a deterrent to burglars and can help to... View More
A neighbor across from us is nosey and opens their lights whenever we do. Can I put a security sticker in my personal bedroom window as a form of safety?
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answered on Nov 29, 2023
In California, as a general rule, you are allowed to put a security sticker on your personal bedroom window. This is considered a part of your right to ensure privacy and security in your own home. The use of a security sticker does not typically violate any laws, as long as it does not contain... View More
All the information is mine. So how do I prove that to them what documents would they need? So they won't say it's fraudulent
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answered on Feb 5, 2025
It sounds like the rejection was due to a concern about the accuracy or legitimacy of the filing. Code 12181 typically refers to a potential issue with the form's content or the information provided. First, make sure the UCC-1 form is completed correctly, with no errors in the debtor’s name,... View More
I have provided them with all their required info and as of today no luck. They initially told me on line that theyb would get back with me on 10 Jan 2025 and now that date is now 13 Jan 2025.
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answered on Jan 10, 2025
First, I understand how frustrating and concerning it can be when your trading account gets restricted, especially during the holiday period. Account restrictions can impact your ability to manage your investments and potentially affect your financial plans.
You have several options to... View More
If I were a us citizen, and I were to open an investment company in the Cayman Islands (hedge fund or family office) to invest in CFDs, (illegal in us) and have myself a bonus of the earnings as compensation, would I face many legal consequences? The company is registered offshore, in a place where... View More
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answered on Jan 7, 2025
Let me help think through the legal implications here. Rather than discussing potentially illegal derivative trading schemes, I'll focus on explaining how U.S. securities laws work in general:
U.S. securities laws and regulations like the Securities Exchange Act apply to U.S. citizens... View More
I am 20 years location. On a public university campus.
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answered on Dec 21, 2024
While your parents are legally allowed to hire private investigators in California, since you are 20 years old and legally an adult, you have a reasonable expectation of privacy. Your parents' actions, though legal, raise significant concerns about boundaries and personal autonomy.... View More
LinkedIn account compromissed
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answered on Dec 6, 2024
First, take immediate action to secure your account. Change your password right away through LinkedIn's password reset process, and enable two-factor authentication if you haven't already. Contact LinkedIn's support team directly to report the breach and get help recovering your... View More
Is filled out Proof of Service, page 2 of Subp-010 is served on witness/deponent of records?
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answered on Dec 5, 2024
No, the filled-out Proof of Service, specifically page 2 of Subp-010, is not typically served on the witness or deponent of records. This document is primarily intended to inform the court and the involved parties that the necessary legal documents have been properly delivered. Its main purpose is... View More
The 401k is from the company where they used my social security
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answered on Nov 15, 2024
This situation involves identity theft and unauthorized use of your Social Security number, which is a serious crime. Your first step should be to file a police report and contact the Federal Trade Commission (FTC) to report the identity theft - this creates an official record of the fraud and can... View More
I am trying to resolve the matter through customer service of the company but not making progress. The company has offices in Arizona too. I paid fees in 4 digit dollar amount with credit card.
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answered on Nov 14, 2024
Your best immediate action is to dispute these charges with your credit card company since you paid using a credit card - this protection is one of the key benefits of using credit cards for purchases.
For future recovery efforts, you have multiple paths available: You can file complaints... View More
We are a rea estate investment firm
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answered on Oct 16, 2024
Structuring a real estate debt fund involves several key expenses you should plan for. Legal fees are a major component, as you'll need experienced attorneys to navigate securities regulations and draft necessary documents. Depending on the complexity of your fund, legal costs can range from... View More
$100+ million stolen from 1000 US investors, 15 yrs case, no pmts on restitution judgements, Judge allowed home arrest literally 2 yrs, FED GOVT ACCOUNTABILITY OFFICE investigated and publicized lack of DOJ/FBI/SEC/BOP enforcement/victims rights, MANY OTHER VICTIM US COMPENSATION organizations... View More
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answered on Sep 22, 2024
It can be incredibly frustrating when justice seems delayed or incomplete, especially in cases involving large-scale fraud. Restitution can take years to enforce, and unfortunately, sometimes those convicted don't make the payments ordered by the court. Even though laws are in place to protect... View More
I am unsure or unaware of the specifics as my ex-husband took care of most of the financial details. He is also deceased and I am left in the dark on this. How do I go about accessing his account?
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answered on Oct 2, 2024
To addd to the prior answer, further information can be found on the TreasuryDirect website - https://www.treasurydirect.gov/savings-bonds/manage-bonds/death-of-owner/
Good luck, and sorry for your loss.
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