SEC Law Firm

When facing an SEC, FINRA or State investigation,  having a reliable and experienced securities defense law firm by your side is not just a wise choice – it’s an absolute necessity. Whether your company is facing allegations of securities fraud, insider trading, or other violations, the importance of robust legal defense cannot be underestimated. Sallah Astarita & Cox, LLC, has the legal expertise and unwavering commitment to protecting your rights and reputation.

Why Securities Defense Matters

Securities litigation and regulatory investigations can have far-reaching consequences for your company, both financially and reputationally. The Securities and Exchange Commission (SEC) is tasked with enforcing stringent rules and regulations to maintain the integrity of the financial markets. The SEC Staff has hundreds of attorneys, accountants, and investigators at their disposal, and can be extremely aggressive when they want to be. When facing allegations or investigations, it’s crucial to have a legal team that specializes in securities defense to ensure your rights are upheld and your company’s future remains secure.

Our Expertise in Securities Defense

At Sallah Astarita & Cox, LLC we understand the complexities and nuances of securities law inside and out. Our partners have over 100 years of experience as SEC Enforcement Attorneys and Brokerage Firm Defense Counsel.  We have a proven track record of successfully defending clients against a wide range of securities-related charges. From white-collar crimes to insider trading to complex regulatory matters, we have the knowledge and experience to navigate even the most challenging legal landscapes.

Defending Against Securities Fraud Allegations

Allegations of securities fraud can have devastating effects on your company’s operations and reputation. Our legal experts are adept at conducting thorough investigations, analyzing financial data, and crafting compelling defense strategies. We leave no stone unturned in building a robust defense aimed at protecting your company’s interests and ensuring a fair and just resolution.

Navigating Insider Trading Allegations

Insider trading accusations can arise from a myriad of situations, and their implications can be severe. Our attorneys are well-versed in the intricacies of insider trading laws and regulations. We work diligently to challenge unfounded allegations, gather evidence in your favor, and advocate for your rights throughout the legal process.

Client-Centric Approach

We recognize that every case is unique, and cookie-cutter approaches simply won’t suffice. Our legal strategies are tailored to the specifics of your situation, ensuring that you receive the personalized attention and robust defense you deserve. When you partner with us, you’re not just a client – you’re a valued ally in our fight for justice.

The Sallah Astarita & Cox Advantage

  • Unrivaled Expertise: Our attorneys possess a deep understanding of securities law and an impressive track record of successful defense.
  • Strategic Thinking: We approach each case with a strategic mindset, employing creative and effective legal strategies to achieve optimal outcomes.
  • Resourceful Investigations: We leave no stone unturned in our investigations, utilizing cutting-edge tools and techniques to uncover essential evidence.
  • Client Collaboration: We believe in open communication and collaboration with our clients, ensuring you’re informed and involved at every step of the process.
  • Results-Driven: Our ultimate goal is to secure the best possible outcome for your case, safeguarding your company’s future and reputation.

Contact Us Today

Don’t allow allegations or investigations to jeopardize what you’ve worked so hard to build. Reach out to us today at to schedule a consultation and take the first step towards a strong and effective defense.

For decades, the attorneys with the SEC law firm of Sallah Astarita & Cox, LLC have been representing investors, brokers, and financial firms in litigation, arbitration, and regulatory investigations. As former broker-dealer and SEC Staff attorneys, they have the experience and knowledge to effectively represent their clients in all SEC law matters across the country.

The firm has successfully defended SEC insider trading investigations, and FINRA Enforcement Proceedings and has represented parties on over 600 securities arbitrations. Their services include:

Securities Regulation

  • SEC & FINRA Investigations & Inquiries
  • State Financial Investigations
  • SEC Administrative Proceedings
  • SEC Examinations
  • Unregistered Offerings
  • Temporary Restraining Orders (TROs)
  • Preliminary & Permanent Injunctions
  • Insider Trading
  • Market Manipulation
  • Pump & Dump Schemes
  • Ponzi Schemes
  • Misrepresentations in Public Filings
  • Court-appointed receivers
  • Mutual Funds
  • Hedge Funds
  • Accounting Fraud
  • Internal Investigations


Securities Arbitration & Litigation

  • Registered Representatives
  • Broker-Dealers
  • Investor losses
  • Suitability
  • Failure to Supervise
  • Churning
  • Unauthorized & Excessive Trading
  • Selling Away
  • Defamation
  • Wrongful Termination
  • Non-solicitation Agreements
  • Non-compete Agreements
  • Promissory Notes
  • Form U-5 Damage
  • Investment Advisors


The firm offers free consultations and cost-effective fee arrangements. Call today at 212-509-6544

Securities Attorney at Sallah Astarita & Cox | 212-509-6544 | | Website | + posts

Mark Astarita is a nationally recognized securities attorney, who represents investors, financial professionals and firms in securities litigation, arbitration and regulatory matters, including SEC and FINRA investigations and enforcement proceedings.

He is a partner in the national securities law firm Sallah Astarita & Cox, LLC, and the founder of The Securities Law Home Page -, which was one of the first legal topic sites on the Internet. It went online in 1995 and is updated daily with news, commentary and securities law related links.