In California, you are considered an “at will” employee, meaning that you can be terminated for any reason at all, or for that matter, no reason at all. However, you still have certain protections against wrongful termination. Unlawful actions center around terminations that violate public policy. What exactly are those public policy issues? You cannot […]

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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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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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 […]

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The stocks and securities sector often deals in high stakes, and requires the steady hand of executives who are well versed in many aspects of the finance industry. It is not uncommon for disputes to arise due to the intense nature of the financial services industry. Nor is it uncommon for someone to be unjustly […]

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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 signed a durable power of attorney […]

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