533 Securities Law results

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Arbitration I worked @ a firm where I had an exisiting client reneg and also a prospective client reneg.I was fired shortly after...... what...
Asked 5/01/08, 2:38 pm in United States New York Securities Law

2
answers
Securities industry Arbitration I am named in the statement of claim as the broker for the client, but i am Not named as the respondant, the...
Asked 5/01/08, 6:55 am in United States New York Securities Law

2
answers
witholding mail Is witholding mail from someone a crime? If so, what is the penalty?
Asked 4/21/08, 8:42 pm in United States North Carolina Securities Law

1
answer
securities law/stocks I have several financial stocks. My portfolio manager in a big company did not warn/inform me to sell the stocks befo...
Asked 4/16/08, 9:03 pm in United States Pennsylvania Securities Law

1
answer
split stock with spouse We (partners in a corporation) would like to split our stock with our spouses. How do we do this?
Asked 4/08/08, 4:49 pm in United States California Securities Law

1
answer
probate,wills and trusts if I set up my mothers brokerage account to joint tenant with righ to suvivorship, would this account be subject to...
Asked 4/08/08, 3:52 pm in United States New York Securities Law

1
answer
unauthorised share transaction by broker sir,in my friends dmat account his broker made number of transaction,which were not sought/permitte...
Asked 4/06/08, 3:46 pm in India Securities Law

2
answers
Securities Law , New York Who is the authority giving permission for Broker- Dealer license to start a small firm of 3 people? The purpose o...
Asked 3/18/08, 8:13 am in United States New York Securities Law

4
answers
investing inheritance i just recently inherited 200,000. from my mothers estate and would like to invest it so it would make a monthly incom...
Asked 2/19/08, 3:11 pm in United States California Securities Law

1
answer
investment advice I just recently inherited $200,000. from my mothers estate, and am wondering if you could point me in the right direction ...
Asked 2/19/08, 3:07 pm in United States California Securities Law

2
answers
theft on private property my car was broken into at the gym and my wallet with EVERYTHING in it was stolen. 200 dollars cash. I had a rental...
Asked 2/19/08, 10:01 am in United States New Jersey Securities Law

1
answer
MInor trade in securities Can minor trade in listed shares thr stock exchange ?
Asked 2/12/08, 10:32 am in India Securities Law

1
answer
Fantasy Sports Players Do the digital players that one holds throughout a season or several seasons count as a security? I would like to ...
Asked 2/10/08, 12:01 am in United States California Securities Law

1
answer
College Fund Investing My husband and I opened College Funds for our children when they were two yrs. old. Our son is now seventeen. W...
Asked 2/04/08, 3:54 pm in United States California Securities Law

1
answer
Investment Newsletter I am series 7 licensed broker and I am looking to start a subscription based investment newsletter. The newsletter wo...
Asked 2/01/08, 1:16 pm in United States Illinois Securities Law

2
answers

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