533 Securities Law results

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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
Venture Capital Investing What is the criteria for an individual investing in a venture capital fund? Do they need to be an accredited inves...
Asked 6/18/09, 10:41 am in United States California Securities Law

2
answers
Joint tenant survivor I live in California. My mom and dad lived in NY. My mom died in 1991. My dad died in 2008. Stock dividend checks h...
Asked 6/08/09, 4:55 pm in United States California Securities Law

1
answer
Stockholder Rights A Sub S corp, does the company have any obligation to make distributions or dividends to provide for stockholders to pay ...
Asked 6/06/09, 11:30 am in United States California 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
Pump & Dump Scheme My brother and I are victims of a--name removed--scheme - its a company called sniffiex. They were sending out misleadin...
Asked 5/07/09, 8:14 pm in United States Illinois Securities Law

1
answer
company won't buy back shares I own stock in a closely-held company. I want to redeem my shares but the company says no because business ha...
Asked 5/04/09, 12:39 am in United States Georgia Securities Law

1
answer
Transfer of delisted securities I have shares in a mexican company that used to be traded on the NYSE as a GDR. The GDR was delisted in 2006...
Asked 4/20/09, 2:07 pm in United States Illinois 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
securities law - delisted securities on april 1st I purchased an ETF (symbol GOE) that schwab was promoting on their website. on april 3 it...
Asked 4/08/09, 12:09 am in United States California Securities Law

2
answers
Corporation and bankruptcy A fortune 500 CFO admits to having deliberately treated $4 billion in operating expenses as assets, thereby allow...
Asked 4/02/09, 9:09 pm in United States California Securities Law

1
answer
S1 Application Is it Fraudulent to knowingly file an S1 application to the SEC with false information in it such as criminal cases pen...
Asked 3/23/09, 10:11 am in United States Texas Securities Law

1
answer
portfolio I had $8 K in my portfolio. As the market kept making it drop I opted to take out the $ to pay a house remodel. My broker refuse...
Asked 3/23/09, 9:59 am in United States California Securities Law

1
answer
got scamed for 200k did not get help from local or fbi or bank in which it happened can i sue someone
Asked 3/18/09, 12:51 pm in United States Florida Securities Law

1
answer

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