The Law of the Financial Markets from Top Securities Lawyers
Thursday, August 20, 2026
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
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 […]
The Securities and Exchange Commission today announced that it proposed new rules, titled “Regulation Crypto Assets,” that would create a clear and fit-for-purpose framework for certain investment contracts involving crypto assets. This proposal follows… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission today charged Daniel Chu, Jerome Kollar, and Ameryn Seibold, the former CEO, CFO, and Senior Director of Finance, respectively, at Texas-based Tricolor Holdings, LLC, for their roles in an alleged multi-year scheme… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today charged New York resident Andrew Spaventa and three entities he owned and controlled with fraud and other violations in connection with unregistered securities offerings of private funds that purportedly… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
The Securities and Exchange Commission today charged three Toms River, New Jersey residents for their roles in an affinity investment fraud that raised approximately $47 million from more than 87 investors, who were primarily members of Orthodox Jewish… SEC Press Release For more information, contact the securities lawyers at Sallah […]
The Securities and Exchange Commission today charged New York-based investment adviser Adit Ventures Management LLC, its CEO Eric Munson, and three affiliated general partners, Adit Ventures LLC; Adit Ventures II LLC; and Adit Ventures III LLC (the… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced it is establishing a new specialized unit within the Division of Enforcement to provide the dedicated expertise, focus, and capacity to pursue accounting and financial reporting fraud cases as well… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission announced that the Small Business Capital Formation Advisory Committee meeting held on July 21, 2026, will reconvene August 6, 2026, at 1 p.m. ET, virtually, on SEC.gov. The committee will… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 or visit […]
The Securities and Exchange Commission released a report to Congress today highlighting policy recommendations from the SEC’s 45th Annual Government-Business Forum on Small Business Capital Formation. The report provides a summary of the forum… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at 212-509-6544 […]
The Securities and Exchange Commission announced today that it will host a roundtable on Sept. 17, 2026, to discuss moving towards 24-hour trading in the U.S. equity markets, including preparations to support overnight trading, operations and resiliency… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today announced that Sam Waldon, Principal Deputy Director of the Division of Enforcement, will depart the agency on July 31, 2026, after more than 14 years at the SEC. He will be succeeded as Principal Deputy… SEC Press Release For more information, contact the securities […]
