The Law of the Financial Markets from Top Securities Lawyers
Wednesday, September 30, 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 charged multiple entities that are likely operated by individuals located overseas for defrauding hundreds of retail investors, including many in the U.S., through so-called investment confidence scams where… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, at […]
The Securities and Exchange Commission today announced settled charges against New York-based investment adviser Zoe Financial Inc. for failing to fully and fairly disclose material facts concerning conflicts of interest to its clients and prospective… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
The Securities and Exchange Commission today charged CMI Capital LLC and its founder and manager, Michael D. Williams, for an alleged fraudulent investment scheme that raised approximately $860,000 from at least 18 investors, many of whom are current or… SEC Press Release For more information, contact the securities lawyers at […]
The Securities and Exchange Commission’s Division of Economic and Risk Analysis (DERA) published updated statistics and data visualizations covering key segments of the U.S. capital markets, including a notable increase in the number of initial public… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
The Securities and Exchange Commission today censured New York-based broker dealer OTC Link LLC and ordered it to pay a $575,000 civil penalty for longstanding violations of Regulation Systems Compliance and Integrity (SCI).According to the SEC’s settled… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today issued an order granting temporary, conditional exemptive relief to Tokenized Securities Venues each a “TSV” from the definition of “exchange” in the Securities Exchange Act of 1934 (Exchange Act) to trade… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita […]
The Securities and Exchange Commission today proposed to rescind Rule 14a-8 under the Securities Exchange Act of 1934, which exceeds the scope of the Commission’s statutory authority and intrudes into matters of state law.The Commission outlined… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
The SEC has proposed rescinding its 15-year-old rule that restricts investment advisers from doing paid work for government clients after making certain political donations.
The Securities and Exchange Commission issued an order granting exemptive relief from certain Inline XBRL requirements adopted on Dec. 16, 2024. More specifically, the Commission is granting exemptive relief from filing or submitting the following in… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & […]
Senior officials from the Securities and Exchange Commission, Federal Deposit Insurance Corporation, Commodity Futures Trading Commission, Federal Reserve Board, and Bank of England convened for a tabletop exercise on Sept. 3, 2026, to discuss certain… SEC Press Release For more information, contact the securities lawyers at Sallah Astarita & Cox, […]
