Author: Mark J. Astarita

Defending an SEC Investigation
Brokers Enforcement Featured Articles Primer

9 Proven Strategies for Defending an SEC Investigation

In today’s complex regulatory environment, facing an SEC investigation can pose an existential threat for public companies. It also affects private funds, investment advisers, and broker-dealers. The key to mounting a resilient defense lies in early action, clear strategy, and rigorous discipline. I am a securities attorney specializing in regulatory investigations. I’ve outlined nine essential steps to help you defend against SEC scrutiny. These steps will protect your reputation and ensure business continuity.

What triggers an sec investigation
Enforcement

What Triggers an SEC Investigation

The SEC’s enforcement division investigates potential violations of securities laws and regulations. Several triggers can lead to an SEC investigation: Tips and Complaints: The SEC often receives tips and complaints from whistleblowers, investors, industry insiders, or the public. If these tips suggest potential securities law violations, the SEC may investigate. Market […]

Tips for a successful securities mediation
Arbitration Brokers Investors

Tips for a Successful Securities Mediation

Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is a form of alternative dispute resolution […]

News

FINRA Fines First Trust $10 Million for Non-Cash Compensation Violations: A Warning on Supervisory Oversight and Cultural Drift FINRA’s latest $10 million sanction against First Trust Portfolios L.P. marks one of the largest penalties tied to non-cash compensation practices in recent years—and underscores how seemingly routine client-entertainment activity can evolve […]

insider trading
Enforcement

Insider Trading Settlement in Blue Apron Stock

The SEC has announced the settlement of an insider trading investigation with David J. Minson in the securities of Blue Apron Holdings, Inc. based on material nonpublic information that Minson misappropriated from an immediate family member, a senior executive at Blue Apron(the “Blue Apron Executive”). According to the settlement document, […]