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9 Proven Strategies for Defending an SEC Investigation
Defending an SEC Investigaton Facing an SEC investigation can be a daunting challenge for any individual or organization and defending an SEC investigation takes experience and knowledge. The SEC is a formidable regulatory body with the authority to scrutinize financial activities, and being prepared for such an inquiry is crucial. […]
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What Does a Securities Lawyer Do?
Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com While securities law is itself a specialized field of law, there is more than one type of […]
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Rule 8210 – How You Respond Makes a Difference
For FINRA member firms, and employees of FINRA firms (even those who are not registered) FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the authority to request documents and testimony from firms, registered persons, and, in FINRA’s view, other persons and entities […]
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Whistleblowers Need Lawyers
By Mark J. Astarita, Esq. Navigate the SEC whistleblower process with our comprehensive guide. Learn how to report financial misconduct confidently and protect your identity. A detailed walkthrough ensures you understand each stage, empowering you to play a crucial role in maintaining integrity in the financial sector. The SEC whistleblower […]
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SEC Subpoenas – Tips for Responding – 2023
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
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Can The SEC Bring Criminal Charges?
While the SEC has extremely broad investigative and enforcement powers, it cannot file criminal charges. It can, and often does, work with the Department of Justice and the United States Attorney’s Office to bring those charges. The SEC and the DOJ often work together, with the SEC sending its more […]
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What is Securities Arbitration?
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late 1970’s, FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage firms […]
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Another Successful Whistleblower – $3.6 Million
The SEC has awarded approximately $3.6 million to a whistleblower whose information and assistance led to a successful SEC enforcement action. The SEC has awarded approximately $842 million to 157 individuals since issuing its first award in 2012. All payments are made out of an investor protection fund established by […]
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Thinking of Day Trading?
A new article from the Securities and Exchange Commission is directed at investors and makes a couple of great points. Day trading is serious business and not something you just dabble in for fun, particularly if you are using leveraged investment strategies or trading leveraged products. Day trading involves actively […]
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UBS Keeps Losing its Attempt to Vacate $11-Mln Finra Award
Back in December 2019 UBS lost an arbitration case brought by Mark Munizzi, a former UBS regional compliance officer in Chicago, whom the wirehouse fired in 2018. His claim was based on his allegations UBS defamed him with the language it put on his U5 form filed with the Central […]
Recent Posts
Enforcement
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SEC Investor Advisory Committee to Examine Use of Complex Investment Products and Strategies by Self-Directed Investors and Discuss Practical Applications for Enhancing Financial Literacy at December 7 Meeting
November 30, 2023The Securities and Exchange Commission’s Investor Advisory Committee will hold a virtual public meeting on December 7 at [...] -
SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud
November 30, 2023The Securities and Exchange Commission today announced fraud charges against Phoenix-based real estate investment company [...] -
SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office
November 29, 2023The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles [...]
- SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations
- 9 Proven Strategies for Defending an SEC Investigation
- SEC Small Business Advisory Committee to Discuss the Accredited Investor Definition and the Role of Diversity in the Investment Process
Arbitration
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Arbitration Claims Filed Against Stifel Broker Chuck Roberts
August 1, 2023A veteran financial advisor with Stifel Nicolaus & Co. Inc. is facing a rash of investor complaints stemming from the sale of [...] -
What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
What is Securities Arbitration?
February 26, 2023Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
Cryptocurrency
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SEC Halts Utah-Based Crypto Asset Fraud Scheme Involving 18 Defendants
September 4, 2023The SEC has secured temporary asset freezing, restraining orders, and other emergency measures against Digital Licensing Inc., [...] -
Impact Theory Charged by SEC for Unregistered Offering of Crypto Asset Securities
August 28, 2023The Securities and Exchange Commission (SEC) has taken action against Impact Theory, LLC, a prominent media and entertainment [...] -
SEC lawyers learned ‘nothing’ from Ripple case
August 23, 2023From Finbold.com: https://finbold.com/legal-expert-blasts-arrogant-sec-lawyers-for-learning-nothing-from-ripple-case/ While the [...]
- Misleading Advertising and Compliance Failures: SEC Charges Titan Global Capital Management
- Settlement:Bittrex Settles Charges of Operating Unregistered Securities Exchange
- SEC Obtains Emergency Relief to Halt Crypto Asset Fraud Scheme Involving 18 Defendants
Brokers
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FINRA Rule 8210 – Avoiding Enforcement Proceedings
November 3, 2023By Mark J. Astarita, Esq.
SEC 2024 Examination Priorities for Broker-Dealers
October 25, 2023The SEC‘s Division of Examinations prioritizes examinations of certain practices, products, and services that it believes [...]Attorney for Broker Transitions – The Recruiting Protocol
October 14, 2023Just about every securities broker is aware of the existence of the Protocol for Broker Recruiting (the “Broker [...]
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SECLaw Primers
- Guide to Broker-Dealer Registration
- Expungement of Customer Complaints
- Introduction to Blue Sky Laws
- Federal Securities Law, a Securities Lawyer Guide
- Understand What is a Security?
- Finders Explained – Be Careful
- The Firm’s Lawyer or Your Own Lawyer?
- Hearing Hearing
- What is Securities Law?
- Securities Attorney
- Responding to a Wells Notice
- Can I Take My Client Information When I Leave My Firm?
- Can a Non-Citizen Be An Accredited Investor?
- What is a Ponzi Scheme
- SEC Subpoena, FINRA OTR – What do I do?
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