Securities Law (Lawsuits About Stocks/Bonds)/Expert Profile

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All questions related to broker or brokerage firm misconduct including unauthorized trading, unsuitable recommendations, improper advice to retire, churning for commissions, misrepresentations, failure to provide hedging strategies, employee stock option concentration, failure to diversify, fraud as well as compliance and FINRA / NASD / NYSE State regulatory issues

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Stuart D. Meissner, a Manhattan New York based attorney, is a former Assistant Attorney General in the New York State Attorney General's Office, Investor Protection and Financial Crimes units. He is also a former prosecutor in the Trial Division of the Manhattan District Attorney's Office in New York, NY. Mr. Meissner has successfully represented and advised investors, retirees, stockbrokers, attorneys and funds throughout the USA and the international community and has also assisted his clients in presenting their matters to securities regulators and prosecutors to assist in the recovery of funds. His credentials appear at .


Association of the Bar of the City of New York Public Investors Arbitration Bar Association (PIABA)


Securities Fraud & Manipulation in Cyberspace, Securities in the Electronic Age,, Volume 2 Number 3 Documentary Consultant - Selling the Dream: Stock Hype and Fraud


NYY Law School LLM - Corporate Law with Securities Concentration Hofstra Law School JD Hofstra University BBA

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Recent Answers from Stuart Meissner Esq

2016-02-24 forced sale of stock (on paper):

This question apparently involves a private company as of it involved a public company, of course no one can force you to sell all ones stock at any time. As for private companies, the answer depends on

2012-03-21 Victim of Fraud:

It depends how you ended up buying the stock. Was it at a broker's unsuitable recommendation? if so one may be able to file a viable claim against the broker and brokerage firm in arbitration suitability

2011-07-18 On-line trades that were not filled:

Most brokerage firm agreements require any disputes to be conducted through FINRA arbitration which means , if you agreement says such, you either can pursue such on your own or you need to hire a finra

2011-07-14 Confusing FINRA regulatory question:

The way you describe these investments they would be considered securities. FINRA only regulates its member firms. However, it would appear that they would fall under the jurisdiction of the SEC as such

2011-02-15 ESOP fraud:

This sounds like something that should be brought to the attention of criminal authorities. I woulld go to the local district attorney where the company was located and show them the evidence. Won't cost


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