There is a reason you are being asked to do this research.

Some courts have held that a financial advisor can, but does not necessarily, owe fiduciary duties to a client. Other courts have held that, like all agents, a financial advisor does generally owe fiduciary duties to a client.... View More

A retirement planner and an insurance broker are two very different occupations. A retirement planner usually provides financial advice to customers on an hourly fee basis. Retirement planners typically do not directly sell financial products, including insurance annuities. They may, however,... View More

This is like making voluntary statements during a traffic stop. Just don't do it. Name, address, and DL, and then STFU.

Remember, "Nobody ever got into trouble for what they do not say" and in this case do not voluntarily provide. I you do not supply how can you get into... View More

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

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answered on Sep 2, 2024

I am unable to adequately evaluate this situation based on the facts provided, however the facts do suggest that the situation warrants further investigation. If you would like a no charge evaluation of your potential case please contact Nan Thompson at my office.

Mom can sue Sister for any money taken out without mom's permission. If Sister used the money to buy or pay for a tangible asset, mom may be able to impose a constructive trust on that asset to help ensure repayment of the money taken.

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... View More

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.

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!!

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.

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.

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.

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

https://walkertx.search.kofile.com/48471/Home/Index/1

Good luck.

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... View More

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.... View More

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.

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... View More

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... View More

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... View More

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... View More