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Frequently Asked Questions
Travel Rules and Rights
The first thing you should do is have your attorney check into the matter. If you have truly been defrauded, you may have the right to pursue a case against the broker in order to recover and seek compensation.
Most securities laws do apply to all companies; however some may be exempt from the registration and reporting laws. Still, the fraud rules typically apply to most companies.
If that company is seeking a vote from you, it’s important that they send a proxy statement and even a proxy card so that you can determine the material that is up for voting. If you’re unsure, you should contact a representative of the company.
Securities law governs the selling and issuing of securities as well as disputes which arise from the issuing and selling of those securities.
The best way to determine this is speak with your financial advisors and your attorney. There are benefits to going public for certain companies while others would be better off seeking financial resources elsewhere.