I have discovered that my spouse forged my signature to open an investment account in my name and then cashed out and I don't know where the money went. Is this something I should report to his employer? The company in which is opened the account?
So far I discovered he opened an account... Read more »
This is called stealing. And if the person who did the stealing is a licensed security salesperson there are several more crimes being committed. You need to START with the company; and you must tell them everything--not just the stuff you do not like.
Your question cannot be answered appropriately without more information--such as whether the owner of the IRA is alive or not. Generally, banks and all other financial institutions have a fiduciary relationship with (owe allegiance to) all their customers--and are required by law to do the right...Read more »
Generally speaking, there are very limited reasons to sell an annuity to someone who is over 70. Based on the limited facts you have provided here, it seems like this would have bee a completely unsuitable investment for you and could be a breach of fiduciary duty as well has violation of various...Read more »
I have an account with a brokerage firm and they have wrongfully escheated and sent my money to Department of Financial Services (Escheatment) in Florida. On enquiring, I have learnt that they have failed to follow the Due-diligence as per Florida Statues 732 and 717 and have also violated 17 CFR... Read more »
You cannot sue the State of Florida--or the Florida Department of Financial Services--for punitive damages under any theory of law. Sign the settlement agreement and accept the $100 Florida apparently owes you.
If illegal/egregious actions by stepmother/POA/PR were recently learned of by daughter beneficiaries, and estate admin was closed August, 2018, do we have options to sue or recover estate assets (money)? (Date of death 5/2017) One of several issues involves fathers long-time advisor. Investment... Read more »
At this point you should probably see an attorney who specializes in securities fraud to ascertain whether you have an action against the investment firm for changing type of account without proper authority.
Other issue is whether there was fraud on the court as far as the probate...Read more »
There are some critical facts missing from your facts: (1) Why are you asking for advice in mid-September 2019 about events that you say occurred in May 2017? There must be more than you are telling us.
I discontinued work with this particular client because I discovered he was committing what I was quiet certain was investor fraud and did not want this to affect my or my companies reputation. I later discovered that he left the state of Connecticut because he had been summoned and fined for the... Read more »
Unless you sue the deadbeat client and receive a Judgment, collecting all the money they owe you is nearly impossible--especially without competent counsel to help you. Look for a good lawyer using the Find a Lawyer tab at the top of every page.
I paid in full 12/15/2016 for unrestricted stocks. Then he and I had a dispute not related to the stock. The person I bought the stocks from took his time on getting me my stock and when I did receive the stocks they were restricted. I then had to pay his lawyer $250 to get a opinion letter... Read more »
You need the services of an attorney who works for you, not the other party. I don't know why you were required to pay the other party's attorney, but it may be something in the contract. Your attorney can review the whole matter and advise you.
I only was paid $1 one the 1st year and a little over $100 the 2nd year and nothing for the 3rd year. How can I obtain what the profits where for the years I was a share holder? How do i know if they owe me for the year that I have not got paid?
As far as I know, only general practitioners usually answer questions on forums like this. What you need to do, if you have not done so already, is to consult with an attorney, face to face, who handles securities regulations.
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