FINRA Brokercheck

What is a Broker CRD Number

Introduction A broker’s CRD number is a unique identifier FINRA assigns to each registered person and entity. It’s used to track their employment history, licensing, and disciplinary actions throughout their career in the financial industry. Understanding the importance of CRD numbers can help investors make informed decisions about who they […]

Securities and Exchange Commission
Enforcement Investors News

SEC Charges Three Sales Agents at StraightPath Venture Partners With Fraud and Unregistered Broker Activity

March 23, 2023 —The Securities and Exchange Commission has charged three individuals for selling interests in pre-IPO companies without registering as broker-dealers and misleading investors about associated fees. Scott Hollender, Gabriel Migliano, Jr., and Frank Vecchio were accused of actively soliciting investments for funds set up as series limited liability […]

Arbitration Hearing
Arbitration Brokers Compliance Corp Finance Enforcement Investors Private Placements Public Offerings

What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at While securities law is itself a specialized field of law, there is more than one type of […]

Tips for a successful securities mediation
Arbitration Brokers Investors

Tips for a Successful Securities Mediation

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 […]

Brokers Investors

Issues with Self-Directed IRAs

Self-Directed IRAs: A Gateway to Financial Empowerment? Many investors believe that using a self-directed IRA will give them greater control over their retirement savings and greater potential profits. As financial professionals are aware, unlike traditional IRAs, self-directed IRAs empower account holders to diversify their investment portfolios by venturing beyond the […]