67 Securities Law results in New York

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missing stock certificate What happens when a security certificate that was given to an attorney and he transfer the stock to himself? And...
Asked 5/11/06, 2:54 pm in United States New York Securities Law

2
answers
401k mishandling- NYS Within NY state, I once worked for a firm (2.5+years) that I invested in a vested 401k plan with 6% matching percentag...
Asked 2/15/06, 8:50 pm in United States New York Securities Law

1
answer
nest of kin Assume a childless married couple. The husband dies intestate, having owned assets in his own name. I understand that the wido...
Asked 12/16/05, 11:07 am in United States New York Securities Law

1
answer
Non Reporting Company I'm currently consulting a public oil and gas company. They are non reporting on the pinks. They have never registered...
Asked 11/07/05, 2:26 pm in United States New York Securities Law

1
answer
SEC Forms A consulting firm has entered into agreement with a public company. As per agreement Consultant will recieve common stock. Common ...
Asked 10/17/05, 7:03 pm in United States New York Securities Law

1
answer
compensation A Broker Dealer I previously worked for governed by another state has witheld commissions for almost a year. Some states award ...
Asked 9/30/05, 10:54 am in United States New York Securities Law

2
answers
deed of house House is in my name and land, my ex lived with me for 11 years, put money in also I borrowed money for him using my equity in ...
Asked 4/29/05, 8:59 pm in United States New York Securities Law

1
answer
joint stock account I have a joint stock account with a former domestic partner. This is not a business account. The account has been froze...
Asked 9/25/04, 11:43 am in United States New York Securities Law

2
answers
Brokerage Firm Countersues Client If a client of a brokerage firm files a frivoulos lawsuit against the firm, what recourse does the firm ha...
Asked 9/10/04, 3:59 pm in United States New York Securities Law

2
answers
False & Misleading Press Releases A public (pink sheets) firm offered to acquire my company for restricted stock. They issued a public press...
Asked 8/31/04, 7:58 pm in United States New York Securities Law

3
answers
Margin Account My uncle was by broker with a large firm. I placed approx. $800,000.00 in stocks and mutual funds with him.(inherited...
Asked 7/20/04, 3:59 pm in United States New York Securities Law

5
answers
division of stock account My former partner and I are owners of a stock account that was established in NY. I am the main holder on the acc...
Asked 5/05/04, 8:38 pm in United States New York Securities Law

1
answer
pension what do you do when you find your pension plan is in violation, or is double dipping
Asked 4/04/04, 3:15 pm in United States New York Securities Law

1
answer
Obligation to Disclose Financials? I am a rsident of NYS. I loaned a NY State-based LLC $25,000 under an Investor's Agreement that was sec...
Asked 2/20/04, 2:54 pm in United States New York Securities Law

2
answers
corporate law Are companies incorporated in New York State required by law to give share holders a yearly certified financiel and accountin...
Asked 10/27/03, 12:50 pm in United States New York Securities Law

1
answer

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