The Law of the Financial Markets from Top Securities Lawyers
Monday, December 15, 2025
he Securities and Exchange Commission today charged a former New Jersey-based broker and investment adviser representative with stealing nearly $3 million from his advisory clients and brokerage customers, which he used to buy gold coins and other precious metals and funnel to family credit card accounts that he controlled. The […]
Under the federal securities laws, a company may not offer or sell securities to investors without registration with the SEC. However, there are a number of registration exemptions that ultimately expand the universe of potential investors. Many exemptions require that the investment offering be made only to persons who are […]
From the SECLaw.com Discussion Forums Archives: Topic: Setting up Investment Company Spencer Uresk New Member posted 12-30-2002 10:43 AM I’m not looking for any specific advice, just trying to determine the feasability of an idea I had. I have provided free, informal investing advice to […]
Hedging Your Bets Is a Hedge Fund the Way Out of the Regulatory Nightmare? By Mark J. Astarita, Esq. Mark Astarita, Esq. is a nationally recognized securities attorney who represents investors, financial professionals, issuers and financial firms in a wide variety of matters involving federal and state securities laws. He […]
Analysts, Margin, Chat Rooms Come into Focus, But is the Focus Correct? By Mark J. Astarita, Esq. While many analysts and brokers ponder how much higher the market can go, and some industry professionals continue to call for the bursting of the bubble, Securities and Exchange Commission Chairman Arthur Levitt […]
