The Law of the Financial Markets from Top Securities Lawyers
Wednesday, September 11, 2024
When the SEC Comes Calling – 2023 Update By Mark J. Astarita, Esq. WHILE BROKERS OFTEN BECOME upset or even angry when they are named in customer arbitration; nothing strikes fear in the hearts of licensed individuals as much as receiving an SEC subpoena or a FINRA 8210 request. The […]
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
The SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]
Arbitral Supoena Power Does Not Provide for Pre-Hearing Production by Non-Parties Hay Group, Inc. vs. EBS Acquisition Corp., Third Circuit HAY GROUP, INC. v. E.B.S. ACQUISITION CORP., No. 03-1161/1162 (3rd Cir., 3/12/04). In arbitrations subject to the Federal Arbitration Act, arbitral subpoena power does not extend to requiring pre-hearing production […]
