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If you pay a company claiming to be a securities firm that

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can make you money but...
If you pay a company claiming to be a securities firm that can make you money but you have to pay a $5,000.00 up front legal fee to gain a contract, then you pay the fee via wire, get the contract, there is non performance and you find out that the firm is not a securiteis firm and are impersonating one. What grounds or laws or statutes has this firm broken?
Submitted: 4 years ago.Category: Business Law
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Answered in 12 minutes by:
12/3/2012
Business Lawyer: Law Educator, Esq., Attorney replied 4 years ago
Law Educator, Esq.
Category: Business Law
Satisfied Customers: 119,565
Experience: All corporate law, including non-profits and charitable fraternal organizations.
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You have several potential grounds. The first ground is breach of contract, which is what you would sue them over. Second, you would have a right to file a complaint with the Securities and Exchange Commission, SEC, for violations of not being a licensed broker selling securities. Furthermore, this is a likely theft by fraud which would be investigated and prosecuted by the district attorney as well, if they are in FL. If they are not in FL, then you would file the complaint only with the SEC and the state where they are located for the theft by fraud charges. You can also sue them in court to recover your fees back for their breach.


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