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• 1. N

     Arbitrator???

     Tennessee Please refer to my question about an SEC fine being taken out of our invested money by broker. I found out that instead of another appeal on our case against a broker firm, an arbitrator will decide our fate. In arbitration, who is present? Lawyer and client or lawyers only or...

     • NurseNic
     • Thread
     • Feb 3, 2006
     • Replies: 1
     • Forum: Brokers & Investments
  2. N

     SEC fine taken out of our invested money when we were not the invester/broker

     SEC fine and our investment What is the name of your state? Tennessee Three years ago, my husband invested just under $6 thousand dollars. His brother invested our money along with his parents and some corporate investers. We pulled out some of the invested money to pay for our honeymoon at...

     • NurseNic
     • Thread
     • Oct 3, 2005
     • Replies: 2
     • Forum: Brokers & Investments