Get free answers to your Securities Law legal questions from lawyers in your area.
Your current state is Ohio
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answered on Feb 1, 2024
To redeem shares from 1939 for BF Goodrich that your grandparents left, you'll need to follow these steps:
1. Contact the Company: Start by contacting the company directly, or its successor, that issued the shares. In this case, you should reach out to BF Goodrich or the current... 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
I received a call from an M & A firm in New York (I am not a US resident) saying it has a buyer for shares I acquired almost 20 years ago. They are listed on the ASPCEX (Asia Pacific Small Cap Exchange). If I signed the documentation and sent a copy of my share certificate the money would be... View More
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answered on Dec 15, 2023
This situation raises several red flags that are commonly associated with financial scams. First, the significant discrepancy between the offered price per share and the current market value is unusual and warrants caution. It's uncommon for a buyer to offer such a high price for shares valued... View More
In July I spoke to my financial advisor about money I rec'd from an inheritance and I told him that I wasn't sure what to do as I was looking for a vacation home and would need it immediately should I find something. I did not ask the type of account he was putting it in as I trusted... View More
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answered on Dec 15, 2023
In your situation, it appears that there may have been a failure on the part of your financial advisor to meet the expectations set for the management of your inheritance funds. The delay in accessing your funds and the resultant financial loss are concerning, especially given your clear... View More
I have a suit against one of the biggest banks in the world for making a bank error in a transaction then fronting us money without our knowledge then turning around and causing us financial injury and not only once but twice on two separate accounts. Then I have intuit one of the nations billion... View More
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answered on Dec 15, 2023
To pursue legal action against a bank for causing financial injury, you should consider hiring an attorney with expertise in banking and financial services law, including securities law. Look for a lawyer who has experience in handling cases involving bank errors, unauthorized transactions, and... View More
I will not handle anyone else's money for them.
I will provide only the stock tips, and advisement on how best to limit risk, and set goals.
Anyone taking my advice makes their own decisions.
Do I need a license to do this?
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answered on Dec 15, 2023
Providing stock tips and investment advice through a subscription service, even without directly handling others' money, often falls under the regulatory oversight of both federal and state securities laws. In New York, as well as under federal law, individuals or entities providing investment... 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
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
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answered on Nov 19, 2023
Starting a hedge fund in Delaware and acting as its manager does typically require you to register as an investment advisor, depending on certain factors. The requirement for registration is governed by both federal and state laws, which vary based on the assets under management, the number of... 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
for over a year fidelity has been holding my mothers money, she had a stroke named me as power of attorney snd they refuse it and now she has no access to her money and is sick and cannot pay her bills or get her medications etc because. they blocked her account she has been there for 40 Years and... View More
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answered on Oct 27, 2024
What is the reason they do not wish to honor the power of attorney? Was it drafted by an attorney on the New York Short Form? If it is a valid POA, they can be compelled to honor it. Otherwise, you would need to apply for guardianship of your mother.
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?
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.
My mom has several accounts with an investment firm that she has had for over 25 years. She withdraws money as needed without any issue. However, the last time she made a request for a withdrawal, she was told her funds were frozen and after speaking with her broker, was told that she would need to... View More
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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.
Is there any oversight on attorneys who file false cases purely for financial gain? I recently learned about an attorney who has filed numerous wrongful foreclosure cases in two counties within months after a trustee sale.
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answered on Aug 26, 2024
Yes, there is oversight for attorneys who file false cases purely for financial gain. In California, the State Bar of California regulates attorney conduct and can investigate complaints related to unethical behavior, including filing frivolous lawsuits. Attorneys who engage in unethical practices... View More
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answered on Aug 21, 2024
If you were affected by the National Public Data breach, you may be entitled to compensation depending on the specifics of the case. Typically, in data breach incidents, victims can seek compensation through legal actions such as class action lawsuits or settlements. The compensation might cover... View More
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answered on Aug 20, 2024
It's understandable to be concerned about your information after a data leak. However, downloading data from a leak, even if your intentions are just to check if you're affected, can have legal consequences. Accessing such data without proper authorization is generally illegal, and you... View More
In 10 months, Sister took over 100K with out mom's permission. When mom, who is 81, noticed she closed the account. Any legal action we can take? Mom is really stressed.
answered on Aug 8, 2024
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.
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