67 Securities Law results in New York

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I am a stockbroker , my old firm is taking me to arbitration for the $$ paid out to a former client who sued my old firm. i was not named as...
Asked 1/29/10, 7:12 am in United States New York Securities Law

1
answer
i bought $50,000 in shares in a friends corporation ( incorporated in New York) about 10 years ago thru my self directed IRA. I never...
Asked 9/10/09, 5:45 pm in United States New York Securities Law

1
answer
Contract Sale vs. Futures Contract Capital Biofuel will launch an effort to fund a $10 million waste-to-fuel biodiesel plant in Schenectady ...
Asked 6/21/09, 4:28 pm in United States New York Securities Law

1
answer
taping can you be taped during a security issue without your knowledge
Asked 5/10/09, 6:28 pm in United States New York Securities Law

1
answer
margin sellout My brokers sold securities on a margin call without giving me any notice notice Do I have any recourse How do I get an att...
Asked 4/18/09, 2:37 am in United States New York Securities Law

3
answers
SEC /Judgement I'm a major shareholder of a privately held corporation. I am not on the Board nor do I work for the company. I've been told ...
Asked 4/13/09, 6:37 pm in United States New York Securities Law

2
answers
Income beneficiary to irrevocable trust The value of the trust that I recieve income from has dropped in value from $1.6mm to $1.1mm. Bank ...
Asked 3/04/09, 12:04 pm in United States New York Securities Law

1
answer
assets and viability My financial group is being sued, by a # of persons, currently in New York Eastern Court for return of asests. Do I nee...
Asked 2/18/09, 4:12 pm in United States New York Securities Law

4
answers
Terrorism vs. Non Responsive Services Supporting Terrorist Activity/Harboring a terrorist, does that still register as a crime? How hard ...
Asked 12/20/08, 6:20 pm in United States New York Securities Law

1
answer
Investment Banker Wha is the exact scope of section 2(21) of the Investment Company Act of 1940 that defines ''investment banker''?? Who doe...
Asked 11/09/08, 12:13 am in United States New York Securities Law

1
answer
Unreliable attorneys How do I actually get an attorney to prioritize my case? Been trying to get one for almost 2 years!
Asked 10/31/08, 10:19 pm in United States New York Securities Law

2
answers
authorization of shares to founders Is a board of directors resolution awarding x shares to Founder X sufficient to convey the shares?
Asked 10/29/08, 2:29 pm in United States New York Securities Law

1
answer
Legal forms Are legal forms legal? I must have Power of Attorney for my very ill daughter who is not able or willing to handle the money th...
Asked 9/17/08, 6:21 pm in United States New York Securities Law

1
answer
SPAC targeting a different industry Is a SPAC able to target a company for a business combination that is outside of the industry identified...
Asked 8/18/08, 9:35 am in United States New York Securities Law

1
answer
Creative funding of a startup? We have a startup company which has a TON of people interested in investing a small amount of money. We have...
Asked 6/24/08, 7:22 pm in United States New York Securities Law

3
answers

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