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. […]
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 […]
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 […]
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 […]
SEC Subpoenas – Tips for Responding – 2023

How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
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 […]
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 […]
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 […]
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 […]
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 […]

Enforcement

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, 2023
The 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, 2023
The 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, 2023
The Securities and Exchange Commission today announced that Kate E. Zoladz has been named Regional Director of the Los Angeles [...]

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Arbitration

Arbitration Claims Filed Against Stifel Broker Chuck Roberts
August 1, 2023
A 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, 2023
Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...]
What is Securities Arbitration?
February 26, 2023
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]

More in this category »

Cryptocurrency

SEC Halts Utah-Based Crypto Asset Fraud Scheme Involving 18 Defendants
September 4, 2023
The 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, 2023
The 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, 2023
From Finbold.com: https://finbold.com/legal-expert-blasts-arrogant-sec-lawyers-for-learning-nothing-from-ripple-case/ While the [...]

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Brokers

FINRA Rule 8210 – Avoiding Enforcement Proceedings
November 3, 2023
By Mark J. Astarita, Esq.

SEC 2024 Examination Priorities for Broker-Dealers
October 25, 2023
The 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, 2023
Just about every securities broker is aware of the existence of the Protocol for Broker Recruiting (the “Broker [...]

More in this category »

9 Proven Strategies for Defending an SEC Investigation

What Does a Securities Lawyer Do?

Rule 8210 – How You Respond Makes a Difference

Whistleblowers Need Lawyers

SEC Subpoenas – Tips for Responding – 2023

Can The SEC Bring Criminal Charges?

What is Securities Arbitration?

Another Successful Whistleblower – $3.6 Million

Thinking of Day Trading?

UBS Keeps Losing its Attempt to Vacate $11-Mln Finra Award

Recent Posts

Attorney for Broker Transitions – The Recruiting Protocol

Defense of an SEC Enforcement Investigation

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

SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud

SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office

SEC Adopts Rule to Prohibit Conflicts of Interest in Certain Securitizations

9 Proven Strategies for Defending an SEC Investigation

Enforcement

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

SEC Charges Phoenix-Area Real Estate Fund Adviser Jonathan Larmore with $35 Million Fraud

SEC Names Kate E. Zoladz as Regional Director of Los Angeles Office

Arbitration

Arbitration Claims Filed Against Stifel Broker Chuck Roberts

What Does a Securities Lawyer Do?

What is Securities Arbitration?

Cryptocurrency

SEC Halts Utah-Based Crypto Asset Fraud Scheme Involving 18 Defendants

Impact Theory Charged by SEC for Unregistered Offering of Crypto Asset Securities

SEC lawyers learned ‘nothing’ from Ripple case

Brokers

FINRA Rule 8210 – Avoiding Enforcement Proceedings

SEC 2024 Examination Priorities for Broker-Dealers

Attorney for Broker Transitions – The Recruiting Protocol

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