New York Securities Legal Questions

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1 legal question has been posted about securities by real users in New York. Ask your question and dive into the knowledge of attorneys who handle your issue regularly. Similar topics to explore also include initial public offerings, and securities fraud. All topics and other states can be accessed in the dropdowns below.
New York Securities Questions & Legal Answers
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Recent Legal Answers

Not sure if there are grounds to sue your personally as I'd imagine you were acting as an agent of your former firm rather than in your individual capacity.  For that reason, I'd imagine your firm and its malpractice insurance carrier would have an interest in funding your defense.  The malpractice carrier might even appoint you independent counsel to work in conjunction with the firm counsel.  If I am wrong, if you need counsel I have represented numerous parties in AAA arbitrations throughout my career and woudl be happy to discuss with you further.... Read More
Not sure if there are grounds to sue your personally as I'd imagine you were acting as an agent of your former firm rather than in your individual... Read More