169 Securities Law results in California

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Class Action Period Bought stock 05/96. Stock tanked weeks later. Class action law suit followed against the president and company , clai...
Asked 6/05/03, 9:45 pm in United States California Securities Law

1
answer
Mall Legalities- taking photographs in malls/boutiques Can you please explain the legalities of taking photographs both inside and outside m...
Asked 2/18/03, 5:57 pm in United States California Securities Law

1
answer
Depostion Hello, I am a witness in a corporate case, I am being forced to testify at a depostion. Must I speak, how long am I required to...
Asked 9/17/02, 9:38 am in United States California Securities Law

2
answers
What's my recourse for lost bond fund dividends? On Sept. 10, 2001, I arranged to have $3000.00 electronically debited from my checking acco...
Asked 7/29/02, 9:07 pm in United States California Securities Law

1
answer
What can I do if I think my sis is trying to cheat me out of inheritance? For years my sister and I were both on my dad's bank accounts.When...
Asked 5/22/02, 3:05 pm in United States California Securities Law

1
answer
misinformation by a broker My broker from a well recognized brokerage firm invested $250,000.00 from my retirement account a month before he...
Asked 3/10/02, 3:37 pm in United States California Securities Law

3
answers
How to find the correct lawyer for my problem I have questions regarding stocks I owned for a pre IPO Company that has merged with a publicl...
Asked 3/07/02, 11:44 am in United States California Securities Law

1
answer
Rufuseful to return personal property valued at over fifteen hundred dollars My mother gave me an antique oak dining table that I had in my ...
Asked 2/21/02, 7:17 pm in United States California Securities Law

1
answer
IPO Over the Internet I want to make an IPO over the Internet. To do so, must I comply with both federal and state SEC filing requirements...
Asked 1/14/02, 12:04 pm in United States California Securities Law

1
answer
Securities - Rule 10b-5 & 16(b) As an employee of a company, I learned about a new product( before being announced to the public) that it w...
Asked 1/14/02, 11:54 am in United States California Securities Law

1
answer
Registration Requirements A corporation has 300,000 common shares outstanding. The owners of these outstanding shares live in several diffe...
Asked 1/14/02, 11:33 am in United States California Securities Law

1
answer
ltd partnership transaction I need to know how to apply a securities law test to a new and allegedly special type of limited partnership tha...
Asked 12/29/01, 1:52 am in United States California Securities Law

1
answer
What am I due for their error? On 09/10/01 before market close, I called a mutual fund co. to purchase $3000 worth of additional bond fund s...
Asked 10/18/01, 10:22 pm in United States California Securities Law

1
answer
Procedure for minor to subscribe to Rule 504 Reg.D offering as accredited invest If a minor who qualifies as an accredited investor wishes t...
Asked 9/14/01, 1:57 pm in United States California Securities Law

1
answer
Series 7 License Can one obtain a Series 7 License if they have been convicted of a federal crime?
Asked 8/14/01, 11:56 pm in United States California Securities Law

1
answer

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