Analysis

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Establish Your Domicile for Income Tax Purposes

State income tax authorities are very concerned about where you live at tax time. Your domicile can significantly impact your tax obligations. You may need to provide documentation to prove where you live. This can include utility bills, rental agreements, or other official records confirming your address. This is crucial […]

FINRA Office
Analysis Brokers Compliance

Forms in Need of Reform

Proposed NASD Rules Will Allow Allegations Against Brokers to be Made Public By Mark J. Astarita, Esq. Note: This column was originally published in 1997 in Research Magazine. Unfortunately, nothing changed, and in fact, the situation has gotten worse. If you have questions about your U-4 or U-5 filings, please […]

Analysis

Martha Stewart Indictment

Martha Stewart did not go to jail for insider trading. In fact, based on what I know of the facts of the case, I probably could have gotten her off on those charges. No, she was sent to jail for lying to federal investigators. Specifically, for Conspiracy to Obstruct Justice, […]

Analysis Arbitration

Arbitrator Code of Ethics Revamped

ABA and AAA Task Force Provide Working Draft of New Ethics Code This four-year effort by a joint task force of the American Bar Association and the American Arbitration Association has now produced a working draft that will cover both domestic and international arbitrations. According to an article on ADRWorld.com […]

Analysis Other

SEC Sues Newsletter Publisher

  Violations of 17(b) Alleged for Failing to Disclose Compensation By Mark J. Astarita, Esq. September 24, 1998 – the SEC announced the filing of a civil action involving a fraudulent touting scheme engaged in by individuals and the corporate publisher of a Newsletter. The Complaint alleges that the individuals […]