By Mark J. Astarita, Esq. Understanding the implications of an SEC subpoena is crucial for those involved in securities law. 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 […]
Tag: subpoena
SEC & FINRA Investigations: Legal Guidance You Need
The SEC Serves a Subpoena, or FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you get a letter, phone call, or subpoena from the SEC (Securities and Exchange Commission) or FINRA (Financial Industry Regulatory Authority), take it seriously. Even if the person […]
SEC Subpoenas – Tips for Responding – 2023
How you respond to an SEC subpoena makes a difference. Tips from an experienced securities attorney.
Subpoena Power Not Available for Discovery
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 […]