67 Securities Law results in New York

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Transfer (as gift) of private company stock from one family member to other. New York exemption. Filing with NY State agency as a transferor...
Asked 2/05/19, 9:11 am in United States New York Securities Law

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I recently started a tech start-up formed in Delaware. I have people helping me to get it off the ground and are not being paid as employees...
Asked 1/06/16, 7:21 pm in United States New York Securities Law

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I run a Registered Investment Adviser with the SEC. We are NOT registered as a broker dealer with FINRA or affiliated with one. We would lik...
Asked 7/28/15, 9:19 am in United States New York Securities Law

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I'd like to know if I have a claim against HRBLOCK. I started a (gov't insured) ROTH IRA in '06/'07. It was locked in at a permanent 8% inte...
Asked 5/19/15, 4:10 pm in United States New York Securities Law

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I was arrested for shoplifting and they told me it was a misdemeanor. No alarms went off and i was far out of the store when 2 men stopped m...
Asked 2/11/14, 8:01 am in United States New York Securities Law

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I have reason to believe that a security was bought by a broker for my account without my permission. It is now worthless. If this was don...
Asked 4/15/13, 5:04 pm in United States New York Securities Law

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answers
I would like to obtain advice on proceeding with a claim against a bank (and broker dealer) with respect to an annuity I was sold and the mi...
Asked 4/05/13, 5:04 pm in United States New York Securities Law

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answers
I invested money with a friends dad who said he had a great investment opportunity in a safe,liquid, and well above average returns with a h...
Asked 2/18/13, 11:28 am in United States New York Securities Law

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Hello, I have left the retail brokerage business roughly one year ago. I've heard of instances where even after one has left the...
Asked 8/28/12, 8:40 am in United States New York Securities Law

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I bought shares from a private company 18 months ago and never received a single update about share value, etc. The company hasn't sent any ...
Asked 7/22/12, 6:55 pm in United States New York Securities Law

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I have been offered a position at a company with a considerable part of compensation under the form of a stock option. The stock ...
Asked 7/06/12, 4:40 am in United States New York Securities Law

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Our company wants to connect crowd-sourced capital to infrastructure needs. We wanted to sell fractions of an physical infrastructure compon...
Asked 3/22/12, 9:57 am in United States New York Securities Law

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I want to start an investment company where i sell shares of the the company to people in exchange for investment capital. I will also be pu...
Asked 2/06/11, 9:35 am in United States New York Securities Law

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An australian Private equity firm will be helping US Publically traded company for expansion of a company in USA by gving capital to publica...
Asked 2/02/11, 6:00 pm in United States New York Securities Law

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I am going through a divorce, myself and my soon to be ex had invested a lot of money, we used a financial planner who invested through a co...
Asked 9/26/10, 6:29 am in United States New York Securities Law

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answer

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