By: Mark J. Astarita, Esq. Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC investigation can be intimidating for individuals or organizations, and defending against it requires expertise and insight. The SEC is a powerful regulatory entity that can […]
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Compliance, Corp Finance
SEC Advisory Committee to Examine Regulation A and “Finders” in July 2025 Meeting
SEC to Convene July 2025 Meeting on Small Business Capital Formation WASHINGTON, D.C., July 7, 2025 — The U.S. Securities and Exchange Commission (SEC) has announced that its Small Business Capital Formation Advisory Committee will hold a public meeting on Tuesday, July 22, 2025, at 10 a.m. Eastern Time. The […]
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Investors
SEC Releases New Data on Broker-Dealers, M&A, and BDCs: Key Insights for Investors
On June 26, 2025, the Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published new reports and datasets, offering valuable insights into broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). These releases aim to boost transparency and deepen understanding of market dynamics. Here’s a breakdown […]
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Arbitration, Brokers, Featured Articles, Investors, Primer
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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Whistleblower
Understanding the SEC Whistleblower Program
A look into the workings of the SEC Whistleblower Program. Is it any surprise that Whistleblowers who are represented by securities attorneys might do better presenting tips than those who are represented by non-securities attorneys? What is the SEC Whistleblower Program? The SEC Whistleblower Program is a vital component […]
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FAQ, Featured Articles, Investors, Primer, Securities Law Dictionary
What is a Security?
A security is a form of ownership in an entity. While some believe that in order to be a security the instrument must be traded on a market, the legal definition of a security is much broader. The definition is important, because if the instrument is a security, then the federal and state securities laws apply to the purchase and sale of that instrument. We define and explain the different types of securities
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Brokers, Compliance
SEC Subpoenas – Tips for Responding – 2025
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
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Brokers, Compliance, Whistleblower
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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Enforcement, Primer
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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News
SEC Charges Binary Options Trading Platform and Two Top Executives with Fraud
The SEC has charged Israeli-based Spot Tech House Ltd., formerly known as Spot Option Ltd., and two of its former top executives, Malhaz Pinhas Patarkazishvili (also known as Pini Peter) and Ran Amiran, with deceiving U.S. investors out of more than $100 million through fraudulent and unregistered online sales of […]
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News
SEC Fast Answer – Removing Restrictive Legends
“Restricted” securities are securities acquired in an unregistered, private sale from the issuing company or from an affiliate of the issuer. They typically bear a “restrictive” legend clearly stating that you may not resell them in the public marketplace unless the sale is exempt from the SEC’s registration requirements. Rule 144 under […]
Recent Posts
Financial Professionals
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SEC’s Division of Investment Management to Host Third Annual Conference on Emerging Trends in Asset Management
May 27, 2025The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference [...] -
FINRA Proposes Changes to Reporting Outside Business Activities
May 6, 2025FINRA Regulatory Notice 25-05, issued on March 14, 2025, proposes consolidating Rules 3270 and 3280 into a single [...] -
By Building Wealth, Investors Power U.S. Economy
April 2, 2025How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National [...] -
Should Brokers and Firms Share a Lawyer?
March 31, 2025By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
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Tips for a Successful Securities Mediation
February 19, 2025Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities [...] -
SEC Seeks Candidates for Membership on the Investor Advisory Committee
February 15, 2025The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory [...]
- Advisers Settle SEC Charges for Acting as Unregistered Brokers
- An SEC Subpoena, FINRA OTR. 2025 Update.
- What Happens If I Ignore an SEC Subpoena?
Investors
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SEC’s Division of Investment Management to Host Third Annual Conference on Emerging Trends in Asset Management
May 27, 2025The Securities and Exchange Commission’s Division of Investment Management announced it will host the third annual Conference [...] -
By Building Wealth, Investors Power U.S. Economy
April 2, 2025How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National [...] -
What is a Ponzi Scheme
March 26, 2025A
SEC Extends Compliance Dates for Amendments to Investment Company Names Rule
March 15, 2025SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and [...]Tips for a Successful Securities Mediation
February 19, 2025Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities [...]SEC Seeks Candidates for Membership on the Investor Advisory Committee
February 15, 2025The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory [...]Arbitration
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What is Securities Arbitration?
June 1, 2025Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
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Tips for a Successful Securities Mediation
February 19, 2025Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities [...] -
What Does a Securities Lawyer Do?
July 8, 2024Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...]
- SEC Investor Advocate’s Recommendations on Arbitration and Index-Linked Annuities
- Arbitration Claims Filed Against Stifel Broker Chuck Roberts
- Securities Arbitration Overview-2023 Update
Enforcement
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What is Securities Arbitration?
June 1, 2025Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
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Should Brokers and Firms Share a Lawyer?
March 31, 2025By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
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What is a Ponzi Scheme
March 26, 2025A Ponzi scheme is a fraudulent investment operation. The operator, either an individual or organization, pays returns to its [...]
- Understanding SEC Investigations: Process, Defense, and Legal Tips
- What Happens If I Ignore an SEC Subpoena?
- 9 Proven Strategies for Defending an SEC Investigation
Featured Articles
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What is Securities Arbitration?
June 1, 2025Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
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SEC Charges Multiple Individuals and Entities in Relationship Investment Scams
September 18, 2024By Mark J. Astarita, Esq. SEC Charges in Crypto Fraud Cases: NanoBit and CoinW6 Scams Unveiled Despite my decades of representing [...] -
9 Proven Strategies for Defending an SEC Investigation
July 8, 2024By: Mark J. Astarita, Esq. Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, [...]
- Federal Securities Law, a Securities Lawyer Guide
- What is a Security?
- SEC & FINRA Investigations: Legal Guidance You Need
Whistleblowers
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Sallah Astarita & Cox Obtains $12 Million Whistleblower Award
October 21, 2024SEC Awards $12 Million to Whistleblowers Exposing Penny Stock Fraud Last week, the Securities and Exchange Commission (SEC) [...] -
SEC Issues Awards Totaling $98 Million to Two Whistleblowers
August 23, 2024The SEC’s Landmark Whistleblower Awards The Securities and Exchange Commission (SEC) recently made headlines by awarding [...] -
SEC Whistleblower Award: A $37 Million Milestone
July 17, 2024The SEC has granted over $37 million to a whistleblower. This individual provided previously unknown information to the [...] -
Supreme Court Upholds Corporate Whistleblower Protections
February 9, 2024February 8. 2024 – The U.S. Supreme Court issued a unanimous ruling holding that whistleblowers do not need to prove that [...] -
Monolith Resources Settles SEC Charges Violating Whistleblower Protection Rules
September 8, 2023Sept. 8, 2023 — The Securities and Exchange Commission (SEC) has announced settled charges against Monolith Resources LLC, a [...]
- Record-Breaking SEC Whistleblower Awards: $104 Million Rewarded to Seven Individuals
- Inside the SEC Whistleblower Office
- SEC Awards More Than $104 Million to Seven Whistleblowers
Other News
Attorney for Broker Transitions – The Recruiting Protocol
Just about every securities broker is aware of the existence of the Protocol for Broker Recruiting (the “Broker Protocol”). Unfortunately, too many brokers think they understand the Protocol, and move forward with a transition without the assistance of experienced counsel. That leads to a motion for an injunction in court, with a […]
Defense of an SEC Enforcement Investigation
SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]
Regulators to Hold Outreach Event for Municipal Market Professionals
The Securities and Exchange Commission, the Municipal Securities Rulemaking Board (MSRB) and the Financial Industry Regulatory Authority (FINRA) today announced that registration is now open for the 2025 Joint Compliance Outreach Program, a two-day event… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
SEC Publishes Data on Broker-Dealers, Mergers & Acquisitions, and Business Development Companies
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) has published new reports and data on broker-dealers, mergers and acquisitions (M&A), and business development companies (BDCs). Today’s reports provide the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
SEC Extends Compliance Date to Help Broker-Dealers Fully Test and Implement Daily Reserve Computation Requirement
The Securities and Exchange Commission today voted to extend the compliance date to June 30, 2026, for the amendments to Rule 15c3-3 (the broker-dealer customer protection rule) that the Commission adopted on Dec. 20, 2024. The amendments require certain… SEC Press Release For more information, contact the securities lawyers at […]
SEC Office of the Investor Advocate Delivers to Congress Report on Objectives for Fiscal Year 2026
The Securities and Exchange Commission’s Office of the Investor Advocate today delivered its Report to Congress on the office’s objectives for fiscal year 2026. As detailed in the report, the Investor Advocate’s priorities for fiscal year 2026… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
Kevin Muhlendorf Named SEC Inspector General
The Securities and Exchange Commission today announced that Kevin Muhlendorf will be the agency’s new Inspector General, effective July 28. Mr. Muhlendorf is a former SEC and Justice Department attorney who for the past nine years has been a partner in… SEC Press Release For more information, contact the securities […]
SEC Announces Departure of David Saltiel
The Securities and Exchange Commission today announced that David Saltiel, who has served as Acting Director of the Division of Trading and Markets, will depart the agency effective July 4, 2025. He has served as Acting Director since December 2024, and… SEC Press Release For more information, contact the securities […]
SEC Names Jamie Selway as Director of Trading and Markets
The Securities and Exchange Commission today announced the appointment of Jamie Selway, an accomplished financial markets leader, as Director of the Division of Trading and Markets, effective June 17, 2025. “I’d like to welcome Jamie to the SEC,” said… SEC Press Release
Brian Daly Named Director of Division of Investment Management
The Securities and Exchange Commission today announced that investment management industry leader Brian T. Daly will become the new Director of the Division of Investment Management, effective July 8. Mr. Daly brings decades of experience serving in… SEC Press Release
SEC Names Kurt Hohl as Chief Accountant
The Securities and Exchange Commission today announced that Kurt Hohl, with nearly 40 years of accounting and auditing experience, has been named Chief Accountant, effective July 7, 2025. Acting Chief Accountant Ryan Wolfe will return to his role as… SEC Press Release
SEC Names Erik Hotmire as Chief External Affairs Officer and Director of the Office of Public Affairs
The Securities and Exchange Commission today announced that Erik Hotmire will return to the SEC as Chief External Affairs Officer and Director of the Office of Public Affairs, effective June 16, 2025. “I am delighted that Erik is coming back to… SEC Press Release
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