The Law of the Financial Markets from Top Securities Lawyers
Monday, October 20, 2025
Sallah Astarita & Cox, LLC is pleased to announce that founding partner, Jeffrey L. Cox, will be co-teaching a course entitled “White Collar Crime” as an Adjunct Professor at Florida International University’s (FIU) College of Law this upcoming Fall semester. Mr. Cox’s teaching will be based on his more than […]
The SEC announced awards totaling approximately $22 million to two whistleblowers whose information and assistance was of crucial importance to successful SEC enforcement actions brought against a financial services firm. The first whistleblower received an award of $18 million, while the second whistleblower received a $4 million award. The larger […]
Well, this is a new one for me. I have been representing brokers and firms in transition deals for decades and have never seen this allegation. According to an article at Advisor Hub, there is a lawsuit pending where there are claims that a broker-sold his book of business to […]
Beginning July 5, 2021, FINRA will reopen all of its hearing locations for in-person arbitration and mediation proceedings except for the following: Augusta, Boca Raton, Buffalo, Detroit, Philadelphia, Providence and Wilmington. FINRA DRS has postponed all in-person proceedings in these seven locations through July 30, 2021. The Securities Law Blog […]
5 Contrarian Dividend Stocks To Buy NowEveryone wants to be a contrarian investor. But in practice, most people buy more near tops and sell shares low.—– Coast-to-coast representation of investors and financial professionals – Securities Lawyer The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a well-known, […]
That is not to say that it does not have its flaws. Scheduling hearings is often a mess, too often arbitrators don’t want to make decisions, and the certainty of evidentiary rulings is iffy, at best. I have represented parties in other forums, notably the NYSE when it was conducting […]
The Securities and Exchange Commission announced today that it has filed an action against five individuals alleging that they promoted a global unregistered digital asset securities offering that raised over $2 billion from retail investors. According… Read the Full Press Release Have a securities law question? Call Sallah Astarita & […]
The Securities and Exchange Commission today announced settled charges against GWFS Equities Inc. (GWFS), a Colorado-based registered broker-dealer and affiliate of Great-West Life & Annuity Insurance Company, for violating the federal securities… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. The […]
The Securities and Exchange Commission today filed a civil action alleging that investment advisers LJM Funds Management Ltd. and LJM Partners Ltd. and their portfolio managers, Anthony Caine and Anish Parvataneni, fraudulently misled investors… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544. The […]
The Securities and Exchange Commission today announced an award of more than $4 million to a whistleblower who alerted SEC staff to certain violations, prompting the opening of an investigation. The whistleblower then provided substantial… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox […]
