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Fiduciary Responsibility Questions & Advice

All Fiduciary Responsibility Questions & Advice

I’m thinking about signing an important document. How can I tell if a promissory note is legal?

Question: I’m thinking about signing an important document. How can I tell if a promissory note is legal?

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I am being solicited and harassed to invest in a multi level marketing scheme which seems like an investment scam. What do I do?

Question: My sister’s second husband, who obtained all of his wealth through the sheer genius of inheritance, is harassing me to invest in a “pr...

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What steps does a municipal securities dealer have to take in order to be registered?

Question: What steps does a municipal securities dealer have to take in order to be registered?

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If I lost money on a stock recommended by my financial advisor, can I take any legal action?

Question: Last year, my financial advisor told me that a particular stock was very low risk.  It's been about a year and I lost close...

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I am a vendor who is now receiving IOU warrants from the State of CA. Are IOU warrants protected by securities laws?

Question: I am a vendor who is now receiving IOU warrants from the State of California in lieu of payment. Are these IOU warrants protected by securi...

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