tow truck license - Q&A

Question:  I am trying to understand basic Securities Regulation and I am getting confused by all of the different Acts and acronyms that seem to be part of a bottomless ...

Question: I work for a brokerage firm and often work at home. A visiting neighbor asked to use my computer to check her e-mail. I forgot that I had not closed the window ...

Question: What is an internet “pump and dump” securities fraud scheme?...

Question: I started working with a financial advisor recently to plan my retirement.  I told her that I was looking for low risk investments but was persuaded by my advis...

Question:  My stockbroker no longer returns my calls and keeps his answering machine on all day.      Rumor has it that he took all of his clients’ investment funds and m...

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 “program” that would require ...

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 securities laws and regulat...

Question: My stockbroker keeps telling me over the phone that his last secretary just quit and he hasn’t had the time to replace her. Otherwise, he would have already mai...

Question: How can a private plaintiff prove securities fraud?...

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