New York State is now requiring Investment Advisor Representatives who work in New York, or who have clients in New York, to register with the New York Investor Protection Bureau and meet certain exam requirements. The new regulation goes into effect February 1, 2021. https://www.jdsupra.com/legalnews/february-1-2021-deadline-mandatory-2498783/
Tag: Securities Law
SEC Charges Former Executives of San Francisco Bay Area Company With Accounting Violations
The Securities and Exchange Commission today charged Joseph Jackson and Colm Callan, respectively the former CEO and CFO of WageWorks Inc. with making false and misleading statements and omissions, including to the company’s auditors, that… Read the Full Press Release Have a securities law question? Call Sallah Astarita & Cox at 212-509-6544.
SEC Charges Three in Digital Asset Frauds
he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]
Satyam Khanna Named Senior Policy Advisor for Climate and ESG
The Securities and Exchange Commission announced today that Satyam Khanna will serve as Senior Policy Advisor for Climate and ESG in the office of Acting Chair Allison Herren Lee. In this new role, Mr. Khanna will advise the agency on environmental,… Read the Full Press Release Have a securities law […]
Gamestop Investigations?
By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]
Can Robinhood Stop Trading in A Particular Stock?
In the aftermath of the run-up in the price of Gamestop (GME) Robinhood removed GME from its trading platform. Yes, Robinhood simply removed a publicly traded security from its platform, preventing its users from buying, and presumably selling, the security. While Robinhood claims that it has the right to do […]
What is Securities Law?
Mark J. Astarita is a nationally recognized securities lawyer who represents financial professionals and their firms in securities investigations, arbitrations, and litigation across the country. If you have a question relating to the securities laws, contact him at mja@sallahlaw.com or 212-509-6544. Securities law refers to the body of law that […]
Typical Customer Arbitration Claims
There are thousands of complaints filed every year, and they fall into categories. UPDATED November 19, 2021. The trial of customer arbitration claims is a large part of my legal practice. I have been representing customers and brokers in securities arbitration matters since 1982. In those 35 years, I have […]
Introduction to the Securities Law – A Securities Lawyer Guide
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Fraud in Execution of Agreement is Defense in Arbitration
Fraud In Execution of Arbitration Agreement is Defense to Confirmation of Award Even if the appellant did not move to vacate or object to the arbitration proceeding. Trading Direct v. LaRusso, 2002 Conn. Super. LEXIS 480 (Conn. Super., 2/7/02). Agreement to Arbitrate * Appealability * Award Challenge * Collateral Attack […]
