The Law of the Financial Markets from Top Securities Lawyers
Sunday, April 20, 2025
Commentary, news and links of interest to financial advisers.
By Mark J. Astarita, Esq. In its most expansive definition, a hedge fund is a private investment fund, usually structured as limited partnership, managed by the general partner who makes the investment decisions and collects a management and incentive fee. The investors in the fund are the limited partners, who […]
NASDR Proposal Contains Provisions to Continue Ignoring the Awards of Its Own Arbitrators, and to Fine Brokers Who Attempt to Obtain Relief From the Courts. By Mark J. Astarita, Esq. The problems associated with the NASD’s CRD Disclosure System are well known to visitors to SECLaw.com, as we have written […]
Even coupled with the ever popular “I didn’t know it was a crime” defense, an Investment Advisor loses. Lessons in securities regulation for the self-help minded. By Mark J. Astarita, Esq. Too often I hear clients, or more appropriately, potential clients, explain to me that they did not use […]
Foreign Countries Have Their Own Securities Regs, and You Have to Comply With Them Too. By Mark J. Astarita, Esq. Financial professionals who are looking to solicit foreign investors have more to consider than the United States securities laws. Just like the United States has an interest in protecting its citizens […]
Analysts take the heat for failing Internet Companies By Mark J. Astarita, Esq. With the burst of the “Internet Bubble” starting in April 2000, and running through the end of that year, investors lost an untold amount of money in the stock market. While one can debate the size of […]
The SEC Releases an Investor Alert on Analyst Conflicts and Suggests that Investors do their Own Research. By Mark J. Astarita, Esq. June 30, 2001 The SEC has posted an Investor Alert on Analyst Recommendations and Conflicts Tilted “Analyzing Analyst Recommendations”. According to the Commission, the Alert is intended to warn investors of […]
ABC News 20/20 Has News for You! By Mark J. Astarita, Esq. I pulled my column for this month at the last minute. As I was putting the finishing touches on the column, to ship it off to Research, I was watching the ABC News Program, 20/20. The […]
A New Organization Hopes to Provide Broker Advocacy By Mark J. Astarita, Esq. Being a stockbroker is not what it used to be. Although stories of the “early days” of being a “customer’s man” are often repeated, younger brokers can only imagine times in which their hard work and concern […]
According to FINRA’s public statements, one of its top priorities is enforcing its rules and federal securities laws. FINRA investigates activity that it believes may indicate a securities law violation and files disciplinary proceedings against firms and their associated persons to address such violations. A FINRA investigation, which typically starts with a request […]
