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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 […]
Whistleblowers Need Lawyers

By Mark J. Astarita, Esq. Realizing the importance of assistance and information from an insider of a company, the SEC established its whistleblower program. Whistleblowers play a crucial role in maintaining the integrity of the securities markets in the United States. The SEC whistleblower program was established in 2010 with […]
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 […]
Cryptocurrency – An Introduction

Cryptocurrency is a digital or virtual currency that is secured by cryptography, making it difficult to counterfeit or double-spend. Cryptocurrencies use decentralized technology for secure peer-to-peer transactions that are recorded on a public ledger known as a blockchain. There are currently over 8,000 cryptocurrencies in circulation, with new ones being […]

Enforcement

American Infrastructure Funds Settles SEC Charges
September 22, 2023
American Infrastructure Funds LLC (AIM), a registered investment adviser based in Foster City, California, has agreed to a [...]
How to Hire a Securities Defense Attorney to Respond to an SEC Subpoena
September 21, 2023
Facing a subpoena can be a daunting experience for individuals and businesses involved in securities-related matters. The

Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities
September 7, 2023
In the appropriate case in our securities defense practice, we sometimes advise clients to self-report a violation and the [...]

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 [...]

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 [...]

Rule 8210 – How You Respond Makes a Difference

Whistleblowers Need Lawyers

SEC Subpoenas – Tips for Responding – 2023

Can The SEC Bring Criminal Charges?

Cryptocurrency – An Introduction

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Enforcement

American Infrastructure Funds Settles SEC Charges

How to Hire a Securities Defense Attorney to Respond to an SEC Subpoena

Linus Financial Agrees to Settle SEC Charges of Unregistered Offer and Sale of Securities

Arbitration

Arbitration Claims Filed Against Stifel Broker Chuck Roberts

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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

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