Over the course of the past several years, many laws have been enacted to deal with the ongoing problem of workplace discrimination. In broadest terms, these laws prohibit an employer from discriminating against an employee on almost any grounds except as it relates to job performance or personality. The best known of these laws is …
When an employee suspects that their employer is acting illegally in a way that could compromise the health and safety of others, they can report these actions as part of a whistleblower complaint. Whistleblowers may also file complaints about financial irregularities when they believe corporate or publicly traded company fraud exists. Depending on the nature …
Whistleblowers are protected by state and federal laws Read More »
Although stockbrokers and brokerage firms legally have an obligation to act in the best interests of their clients, unfortunately, that does not always happen. In a high-stakes financial situation, you could find yourself the victim of misconduct by your financial representative for any number of reasons, including: Churning Misappropriation Unauthorized trading Failure to diversify Misrepresentations …
Using arbitration to resolve securities disputes Read More »
If you’ve been in business for any length of time, then you know clashes and disputes are all part of conducting business, whether you like it or not. Sometimes your disputes will be with clients or shareholders, at other times you may run up against regulatory agencies or employees. And at other times, you just …
Seeking legal help to remedy partnership disputes Read More »
Although we don’t like to think about it much, the simple fact is that we could become incapacitated or unable to communicate at any time. A car accident, a heart attack, becoming the victim of a crime or any other number of life events could lead to a situation where you become unconscious, fall into …
The benefits of an advanced healthcare directive Read More »
A power of attorney document gives you the ability to appoint a person or an organization the right to manage your affairs if you become incapacitated and can no longer do so for yourself. You can designate anyone you trust to act as a power of attorney. In many cases, people name an actual lawyer …
When a person passes away, it can take several months, even several years to administer the person’s estate. Depending on the complexity of the estate, the number of beneficiaries and the types of assets involved, the amount of work to conduct probate administration could be considerable. For some estates with few assets, it may be …
As you grow older, part of the peace of mind you want is to make sure that your loved ones and family members are taken care of according to your wishes after you pass away. This does require work and pre-planning on your part, but if you take care and put effort into the front …
The importance of choosing the right estate administrator Read More »
At times, publicly traded companies and corporations can find themselves the focus of a government inquiry or investigation. These inquiries may come from securities regulatory enforcement agencies such as the Securities and Exchange Commission (SEC), Commodities Futures Trading Commission (CFTC) and the Financial Industry Regulatory Authority (FINRA). The inquiries and investigations can center around any …
What is the definition of conservatorship? When a person can no longer take care of themselves when it comes to finances and health care, the courts will place powers and responsibilities to manage that person’s affairs in the hands of a conservator. In some cases, an individual who is in failing health may have already …
Conservatorship Definition, Responsibilities, and Attorney Cost Read More »
When a person passes away and a trust document is in effect, the trust will have to be administered according to the wishes of the settlor (originator) of the trust. Trust administration has many steps in it and often, an attorney is called upon to not only set up the trust, but to administer it …
Publicly traded companies have a duty to their shareholders to provide transparency and make every attempt to create a reasonable rate of return. When businesses struggle, that can create issues that put executives at odds with each other, the public, regulators and shareholders as they attempt to produce profits and maintain shareholder value. That pressure …
Six essential elements of shareholder litigation Read More »