| Subject | Date Asked |
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| Financial Advisors | 2/23/2008 |
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 |
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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| Bank wants to make restituion with my own money | 1/18/2008 |
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 |
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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| RECEIVING A STOCK CERTIFICATE AT RETIREMENT | 9/5/2007 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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 |
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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| E.F. Hutton | 9/7/2006 |
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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| telebras | 12/6/2005 |
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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| class action | 9/20/2005 |
Q: I have been asked to be a "lead plaintiff" in a class action suit against a stock (Host America ...
A: You have asked some excellent questons. When I was doing class actions, class representatives got ...
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| Updating Rule 405 Information | 2/21/2005 |
Q: Vincent This may not be exactly the kind of question you normally get, but I cannot find any ...
A: When a stockbroker recommends an investment, there must be reasonable grounds to believe that the ...
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| lambert chemical co,.inc | 10/12/2004 |
Q: I have two stock certificates: Front: Lambert Chemical Co,. Inc. Certificate for 25 shares of ...
A: I don't do this kind of work, but you can research it yourself on the internet or at the library, ...
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| Definition Question | 5/4/2004 |
Q: I would like to know what the following means, "Unexchanged Stock of Successor Corporation." The ...
A: It could mean a several things, including stock that was supposed to be exchanged for new stock ...
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| misappropriation of funds | 10/31/2003 |
Q: my friend has a 451 retirement fund offered at work by lincoln. instead of the company putting the ...
A: It sounds like your friend should hire an employment lawyer who represents employees and who ...
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| Merrill Lynch, recent problems | 6/6/2002 |
Q: Vincent, how do I find out which stocks were involved with the recent ML problems? How do I know if ...
A: The following is a list of the 24 stocks pushed and promoted or followed by ML and Henry Blodgett ...
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| investing in joint venture | 2/28/2002 |
Q: This may be out of your area of expertise-however, we have invested in an oil dev. joint venture ...
A: If the investment was not purchased based upon the advice of a registered securities broker, it is ...
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| Stockbroker Mismanagement & Misconduct | 2/13/2002 |
Q: My Stockbroker, one of the biggest names, took my investment of around $700,000 and turned it into ...
A: In general, if you have an out of pocket loss of $600,000 and can get $440,000, that might be ...
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| security law? | 10/18/2001 |
Q: First let me say thank you for providing this service to us! I know you cannot give specific legal ...
A: Is it a security? Probably. The definition of securities is very broad and, subject to some ...
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| STOCK LAW | 9/11/2001 |
Q: "As for the sale of PHI I believe the gentleman in question bought a majority of the voting stock. I ...
A: It might. I can't think of a clearer way to buy a corporation than to buy all its stock. You could ...
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| di8viding stock held in Jt Ten into two legal halves. | 6/8/2001 |
Q: I have 1728 shares of Intel stock. It is in my name and in the name of my previous wife. (JT. ...
A: If I were you I would start with a securities lawyer where you live, though he may tell you that the ...
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