The Law of the Financial Markets from Top Securities Lawyers
Wednesday, September 11, 2024
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 […]
CRD, Your Permanent Record, and Your Future By Mark J. Astarita, Esq. Note: CRD disclosures can be removed in limited circumstances. To learn more, read Expungement of Customer Complaints, and call Sallah Astarita & Cox, LLC at 212-509-6544 When you were young and in high school, a big threat from […]
Note: Mark Astarita was the legal columnist for Research Magazine from 1995 to 2000. This column was the first in of 5 years of monthly articles. BY MARK J. ASTARITA, ESQ. By now, you’re probably aware of Spring Street Brewing’s successful initial public offering completed last year. The company conducted […]
Form u-4 and form u-5 are two of the most oppressive and abused securities industry documents. recent changes were approved without a single comment from the industry. The SEC‘s Bad Form By Mark J. Astarita, Esq. On July 5, 1996, the Securities and Exchange Commission (SEC) announced it had approved […]
Regulators Call For Increased Scrutiny of Brokers with Disclosures By Mark J. Astarita, Esq. WHETHER JUSTIFIED OR NOT, the hiring and continued employment of brokers with disclosable events on their Central Registration Depository (CRD) reports is an increasing concern. Just last year, a report issued by regulators recommended stringent […]
The NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, 1996, the association proposed to make full disclosure of the entire contents of the disciplinary and litigation section of a […]
