| Subject | Date Asked | Expert |
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| arbitration agreements | 9/23/2009 | Stuart Meissner Esq |
Q: I have a grievance with Stanely Morgan I do not feel they properly executed my orders But in the ...
A: Other than text books regarding securities arbitration in general which there are many and you can ...
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| ponzi scheme | 3/4/2009 | Stuart Meissner Esq |
Q: i am part of a ponzi scheme, and lost alot of money. my question is... if the FBI and the postal ...
A: Darlene: You can retain your own lawyer. That is your choice. The Govt does not necessarily ...
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| Stockbroker question...for Law and Ethics Class | 1/4/2009 | Stuart Meissner Esq |
Q: but I have to write a paper for my Law and Ethics class (Master's program). I was given a scenario ...
A: I know of no rule or regulation that would prevent a stockbroker from discussing his beliefs - if ...
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| Offer of Buyout | 12/16/2008 | Stuart Meissner Esq |
Q: On January, 2007.. D Mecatronics (DMTN.PK) (now DMTA.PK) issues a press release saying that the ...
A: Material Changes must be filed with the SEC as a form 8K - If there was a material change and they ...
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| property abandoned | 11/12/2008 | Stuart Meissner Esq |
Q: I own share in Microsoft, and just received a letter and form stating that I have to respond with my ...
A: I suggest you contact the brokerage firm who is holding the physical share certificates - in street ...
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| sec | 11/4/2008 | Stuart Meissner Esq |
Q: Merrill Lynch calls its brokers financial advisors, however my ML advisor told me recently he did ...
A: My prior answer applies. One would also need to know how you came to be on margin in the first ...
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| sec | 11/4/2008 | Stuart Meissner Esq |
Q: Merrill Lynch calls its brokers financial advisors, however my ML advisor told me recently he did ...
A: If you gave instructions regarding the sale of your account and the broker acknowledged those ...
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| Lack of Management on a Managed Account | 10/24/2008 | Stuart Meissner Esq |
Q: I hold an IRA account with Smith Barney and early in 2008 my advisor left the company, leaving me ...
A: You may file an arbitration claim with FINRA. A review of your entire situation and documents would ...
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| esop | 10/14/2008 | Stuart Meissner Esq |
Q: we found out that the place i work bought a boat with esop money.Nobody knew about this,we just ...
A: Pete: Not knowing the specifics of your ESOP plan there is generally a fiduciary duty on people who ...
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| Private Stock Sale and Shareholder rights | 9/2/2008 | Stuart Meissner Esq |
Q: First, I own 36% of an LLC in NYS. I resigned as a manager in March due to health concerns, ethics, ...
A: There seems to be several questions in one. First as this is a complicated situation which is ...
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| Buying put options against employee call options | 5/16/2008 | Stuart Meissner Esq |
Q: I thought this would be a common question, but I can't seem to find the answer via google. I'm ...
A: I am not sure what you are trying to accomplish as you did not provide the type of options (puts) ...
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| Financial Advisors | 2/23/2008 | Vincent DiCarlo |
Q: I have a managed account with Merrill Lynch. I called to speak with my advisor last week and was ...
A: It sound like, at the least, they could have handled this better. Part of the problem is that, when ...
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| E.F. Hutton | 1/29/2008 | Vincent DiCarlo |
Q: Mr. DiCarlo- I recently found a note for 500 shares of stock in a company called United States ...
A: You can research your stock certificates yourself on the internet or at the library, check with the ...
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| Where is my stock? | 1/28/2008 | Stuart Meissner Esq |
Q: My mother wants to sell her shares of stock she owns in a particular company. All she has are old ...
A: You can call the company she owns shares in and find out who their transfer agent is and call them. ...
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| Bank wants to make restituion with my own money | 1/18/2008 | Vincent DiCarlo |
Q: i had Guaranteed Investment funds that were to mature in 2010 i bought these funds in oct 2000. The ...
A: The bank appears to be making an argument based on expected returns or the time value of money. It ...
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| Is this fraudulent? | 11/21/2007 | Vincent DiCarlo |
Q: I recieved an offer from a friend who is an officer of a company, and owns about ten percent of the ...
A: Yes. The whole purpose of it is to disguise the true nature of the transaction. If your friend ...
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| selling and buying stocks | 11/9/2007 | Stuart Meissner Esq |
Q: If I sell a stock for a profit that I have had for a short time at a profit can I buy it back when ...
A: I know of no reason why you cannot buy it back. What you seem to be referring to is when you are ...
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| scotttrade | 11/7/2007 | Stuart Meissner Esq |
Q: I have an account with scottrade and formerly have about 80,345,000 shares, a 90% buyback came and ...
A: This sounds like a possible electronic error, which errors are usually covered by your opening ...
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| RECEIVING A STOCK CERTIFICATE AT RETIREMENT | 9/5/2007 | Vincent DiCarlo |
Q: I RETIRED 5/15/2007 AFTER 10 YEARS WITH A BANK .AT THAT TIME I DECIDED TO OPEN AN IRA WITH ANOTHER ...
A: Where the negligence of a financial professional causes a loss, you may have a claim. However, you ...
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| retirement funds | 8/31/2007 | Vincent DiCarlo |
Q: in divorce settlement I was entitled to a portion of x husbunds pention. have entire file incl. a ...
A: Whether you have a claim worth pursuing depends on the facts of the case. If the account was set up ...
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| Stocks turned over illegally?/Inheritance... | 8/30/2007 | Vincent DiCarlo |
Q: My grandmother owned shares in GTE stock, which were converted into Verizon stock in 2002 ...
A: These are questions you should discuss with the lawyer you engage to advise you, which you should do ...
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| Stocks turned over illegally?/Inheritance... | 8/30/2007 | Vincent DiCarlo |
Q: My grandmother owned shares in GTE stock, which were converted into Verizon stock in 2002 ...
A: The transfer of unclaimed property to the state is generally called and "escheat". The rules that ...
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| Broker mismanagement of retirement funds | 8/12/2007 | Vincent DiCarlo |
Q: Sir: When I retired I put my lump sum distribution into a Merrill Lynch IRA. From $890,000, my ...
A: The advice below is written from the standpoint of someone who is looking for a new broker or ...
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| Broker mismanagement of retirement funds | 8/12/2007 | Vincent DiCarlo |
Q: Sir: When I retired I put my lump sum distribution into a Merrill Lynch IRA. From $890,000, my ...
A: Unless there are special circumstances in your case that toll, delay, or extend the time limits, it ...
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| Researching stocks... | 8/7/2007 | Vincent DiCarlo |
Q: Mr. DiCarlo: Is there a website on which I can research the value of old stocks? My father left ...
A: oldcert You can research your stock certificates yourself on the internet or at the library, check ...
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| lack of quorum for board meeting | 6/30/2007 | Vincent DiCarlo |
Q: I am working with a association that wishes to ammend its articles. The problem is the existing ...
A: This is a fairly common occurrence. The exact procedure depends on the law of the state where you ...
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| Supervisor Procedure requirements | 4/8/2007 | Vincent DiCarlo |
Q: Is there a "SPECIFIC" SEC law their clearly outlines Financial Advisor "MANAGEMENTs responsibilty to ...
A: I am sorry that you did not receive a faster response to your question. I must have missed the ...
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| company refusal to transfer stocks | 10/24/2006 | John E. Lawlor Esq. |
Q: Briefly I would like to know of reasons why a company like bellsouth would refuse to go through with ...
A: Transfers are most often rejected because the issuing company's transfer agent suspects the shares ...
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| Sale of Stock | 10/10/2006 | John E. Lawlor Esq. |
Q: This transaction that didn't get filled took place roughly 2 years ago. I had made numerous calls ...
A: The plot thickens. You have a duty to mitigate (minimize) your losses. That means that you should ...
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| Inside Trading | 9/27/2006 | John E. Lawlor Esq. |
Q: I invest in stocks short-term;anywhere from a few hours to a few months. I am employed as a ...
A: You can trade in shares of the company you work for but you should be aware that most ...
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| Backdating stock options | 9/23/2006 | John E. Lawlor Esq. |
Q: I just wanted to know if you could explain to me why companys choose to backdate stock options? I ...
A: It doesn't benefit the company, it benefits the option holder, usually an insider. If the stock is ...
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| E.F. Hutton | 9/7/2006 | Vincent DiCarlo |
Q: A widowed lady friend called me and asked me how she could find out about some stock her late ...
A: The answer depends on whether she has the actual stock certificates. If she has the certificates ...
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| selling stock | 6/27/2006 | John E. Lawlor Esq. |
Q: My company just incorporated last week. We are a closed corporation in Illinois. The incorporators ...
A: The cap is not a black and white number. The general rule under federal law is that you can't ...
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| Multiple questions. :) | 4/15/2006 | John E. Lawlor Esq. |
Q: My first question is not really related to stocks and bonds, but rather assets and debt in general. ...
A: 1. Your estate is responsible for your unpaid obligations after you die. If there's not enough ...
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| Chapter 11 Bankruptcy - Impact on Bond Investments | 3/6/2006 | John E. Lawlor Esq. |
Q: On Friday March 3, 2006, Dana Corporation (DCN) announced they were filing chapter 11 for its U.S. ...
A: I'm not a bankruptcy attorney, but my guess is that the subs are not necessarily responsible for the ...
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| CMKMRR - UBS Web Site | 1/21/2006 | John E. Lawlor Esq. |
Q: You answered a question of mine earlier....here is a more specific question. There is a ticker ...
A: You're saying 2 different things: "it's not trading right now" and "the company is currently ...
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| Nasdaq | 1/21/2006 | John E. Lawlor Esq. |
Q: What is the difference between the nasdaq national and nasdaq small cap? If a company is not ...
A: I don't remember the exact thresholds, but NASDAQ NMS securities have to have a certain market cap, ...
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| Rights Issues - RR attached to a security's symbol | 1/21/2006 | John E. Lawlor Esq. |
Q: I just want to ask a broker what it means when a symbol has the letters "RR" after it, i.e. BPGPRR. ...
A: I couldn't find that stock, but it's possible/probable the broker is right. Check the stock tables ...
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| joint tenancy-stock | 1/4/2006 | John E. Lawlor Esq. |
Q: My husband died bout 6 months ago. We have and have had for some time stock in Ameren. All otheer ...
A: I'm in NY, not a community property state. My recollection of community property from law school is ...
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| telebras | 12/6/2005 | Vincent DiCarlo |
Q: fidelity investment went into my account took all my stock worth 16.000 with out my approval then ...
A: What were the circumstances? Was there some kind of margin call? Was it a discretionary account? In ...
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