The Law of the Financial Markets from Top Securities Lawyers
Monday, January 13, 2025
Anyone who follows our blog or website knows one thing. The
Mark J. Astarita, Esq., a nationally recognized and Martindale AV-rated securities attorney, explains the SEC investigation [...] Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
Understanding SEC Investigations: Process, Defense, and Legal Tips
July 27, 2024
What is Securities Arbitration?
July 20, 2024
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
The SEC, FINRA, the States, and much more Introduction The history of securities regulation and federal securities law is well [...]
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 […]
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 […]
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 settled charges against Vince McMahon, the former Executive Chairman and CEO of World Wrestling Entertainment Inc., for signing two settlement agreements, one in 2019 and one in 2022, on behalf of… SEC Press Release
The Securities and Exchange Commission today announced settled charges against broker-dealer Liquidnet Inc., an operator of multiple alternative trading systems (ATSs), for failing to have necessary controls and procedures regarding market access, for… SEC Press Release
The Securities and Exchange Commission today announced that Entergy Corporation, a Louisiana-based utility company, agreed to pay a $12 million civil penalty to settle charges that it failed to maintain internal accounting controls to ensure that its… SEC Press Release
The Securities and Exchange Commission today announced settled charges against Wells Fargo Clearing Services LLC and LPL Financial LLC for failing to provide complete and accurate securities trading information, known as blue sheet data, to the SEC.… SEC Press Release
The Securities and Exchange Commission today charged registered broker-dealer Deutsche Bank Securities Inc., a subsidiary of Deutsche Bank AG, for failing to file certain Suspicious Activity Reports (SARs) in a timely manner. Deutsche Bank Securities has… SEC Press Release
The Securities and Exchange Commission today charged registered investment adviser Silver Point Capital L.P. with failing to establish, implement, and enforce written policies and procedures reasonably designed to prevent the misuse of material nonpublic… SEC Press Release
The Securities and Exchange Commission today announced charges against two private companies and one registered investment adviser for failing to timely file Forms D for several unregistered securities offerings in violation of Rule 503 of Regulation D.… SEC Press Release
The Securities and Exchange Commission today charged Tai Mo Shan Limited with misleading investors about the stability of Terra USD (UST), a purported “algorithmic stablecoin” issued by Terraform Labs PTE Ltd. (Terraform), when UST dropped from its… SEC Press Release
The Securities and Exchange Commission today adopted amendments to Rule 15c3-3 (the customer protection rule) to require certain broker-dealers to increase the frequency with which they perform computations of the net cash they owe to customers and other… SEC Press Release
The Securities and Exchange Commission today announced that Illinois-based AAR CORP., a global provider of aviation services and products, agreed to resolve Foreign Corrupt Practices Act (FCPA) charges in connection with two bribery schemes. AAR agreed… SEC Press Release
