I'm an investor with 14 years experience. My friends and family all want my help because I've made excellent returns but it is my understanding that I can't help them, because I'm not a financial advisor, and they could sue me if they lost money (is that even true?). So I want... Read more »
answered on Dec 3, 2022
Forming a brokerage firm like this and creating a bond to offer to members of the public is a relatively complex endeavor.
You need to contact a business formation attorney who handles SEC regulated securities firms to avoid potential criminal legal problems
I am the Beneficiary for the investments my ex-wife made she passed away in2019 her executive of the will told me that she gave everything to her Granddaughter I asked for the paperwork and he told me that I was trying to dig up dirt on my ex-wife. Can he override the Beneficiary for investments
answered on Feb 28, 2022
Your divorce eliminated your name as beneficiary on investments. Investments like a mutual fund or stock are allowed to have a "pay on death" or a "transfer on death" designation. Sometimes the accounts will be in both names, with a "right of survivorship". The goal of... Read more »
Purchased a vehicle yesterday, submitted proof of income (check stubs) as well as contact information to my corporate office to verify employment. Finance company contacts me to say no one was answering the phone at corporate, so I gave her an email address to send the verification. With the... Read more »
answered on Oct 15, 2021
While I agree that they sent more information than was probably necessary, you don't have any apparent damages as a result of this action, and no claim arises from the facts you describe.
SEC rule 506(c) mandates only accredited investors are eligible to contribute to the funds. So can non-accredited investor form an LLC to obtain accredited status? If yes, what are the terms and conditions that one should be aware off?
answered on Apr 18, 2021
Either you are accredited or not! The issuer is not going to risk losing a safe-harbor exemption for registration to take on an unaccredited investor. And they it tells you otherwise, watch out!!
answered on Mar 1, 2021
Contrary to popular belief, Puerto Rico IS part of the US, even though it's not a state. It's a US territory, and you don't even need a passport to travel to and from there from any other part of the country.
I have my 401K and a 529 account with Charles Schwab. I opened a new acct on the 25th of Sept to attempt to trade. On the 6th they blocked my account for "fraudulent" reasons and the investigative team we supposed to call back within 48 hrs to discuss the matter. After several calls for... Read more »
answered on Oct 12, 2020
You need to put them on Notice in writing of your objection to the freeze, remind them you have open positions and your intention to sue them for any and all damages unless they take your orders and unfreeze the account or hire an attorney to do that immediately.
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. https://piaba.org. You can search for a local lawyer on the website. Good luck.
I need to refile this in the Texas Secretary of State.... I need Instructions how to transfer this into the UCC Financial Filing Dept.
answered on Apr 29, 2020
The recording information looks like it's a real property recording. You can pull the information here:
answered on Sep 27, 2019
Your question remains open for three weeks, and at this point, if you haven't already, consult with a Texas attorney. This sounds more like a real property matter than one about securities or civil rights. At any rate, the category is not really important at this point. It appears to be... Read more »
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 »
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 »
Its my second cousin. Had no kids. My dads cousin. Mu aunt took carebif this many years ago after his suicide and failed to find a number of open accounts and what not. Ive not had comyavt with her in at k1east 3 yrs or more and havent spokennto my cousins, her kids in even longer. I always stayed... Read more »
answered on Oct 11, 2017
I suggest you have an in-person consultation with an attorney. It's a time-consuming job to review all the appropriate facts and advise you accordingly; therefore, you will probably be charged for the consultation.
Had someone hack my twitter account and I have proof of them even saying they did . Just wanna know if it's illegal and what are the consequences in the state of Texas
answered on Jul 17, 2017
Yes it is illegal, see the Texas Penal Code Chapter 7, Section 33. The penalties for computer crimes are of a wide variety depending on the nature and seriousness of the crime committed. For the breach of computer security (i.e. gaining access to a computer without the consent of the owner), the... Read more »
My family and I are planning to take a roadtrip to California and are planning on taking a friend with us who is in the process of getting his green card. He has a receipt from paying for his application. Is it okay to cross checkpoints going from state to state? Is he allowed to travel within the... Read more »
answered on Jun 28, 2017
Under what section of the law is this student entitled to get a green card? Your question does not show that he is eligible for one at all. Even if he is, merely filing for a green card does not confer any legal status in the United States unless the applicant is in this country with some other... Read more »
Yesterday I got the news that the seller has agreed and signed on my offer to purchase a condo. Then today I get a call that he was under the influence of pain medication from yesterday morning's doctor's visit and that he does not remember agreeing to the contract. Can this contract... Read more »
answered on Apr 7, 2016
It is difficult to give an accurate answer to this question without knowing all the details of your case. Generally, for example, a person may argue that a contract is voidable because he did not have the capacity or legal ability to enter the contract due to being under the influence of drugs or... Read more »
I and three of my partners are registering as Investment Advisors, exam scheduled soon and want to know - can we register "lots' of hedge funds to get around the max 35 non-accredited investors rule? Are we allowed to advertise the hedge fund via email, online etc..? Do we have to... Read more »
answered on Aug 11, 2015
If you're going to be running a hedge fund, you should be consulting with a qualified securities lawyer about not just this question but in general making sure you are in compliance with applicable laws.
Please Take Notice: I am not your lawyer unless we enter into an engagement... Read more »
answered on Aug 10, 2015
Not sure what you mean. Check with a local securities lawyer.
Please Take Notice: I am not your lawyer unless we enter into an engagement agreement in writing. This is general information that is given for legal education only. It is not legal advice, and it may not work for your specific... Read more »
answered on Dec 18, 2013
To the extent that the lawsuit is underway (in this shareholder derivative suit), you would need to look to the rules of civil procedure that your specific court follows. Although procedural rules can vary depending on what court you're in, they generally have similar provisions. Most, if... Read more »
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