Search for: "Mark Astarita"
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16 Sep 2016, 12:29 pm
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
15 Sep 2016, 7:36 am
Her research interests include initial public offerings, universal banking, and investments, and her research has been published in the Journal of Accounting and Economics, the Journal of Corporate Finance, and European Financial Management.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 Sep 2016, 12:12 pm
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 Sep 2016, 9:35 am
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
9 Sep 2016, 10:52 am
The SEC appreciates the assistance of the Office of the Comptroller of the Currency and the Oklahoma Department of Securities.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
8 Sep 2016, 10:45 am
Martin Vasquez, Roda Johnson, Jean Cabot, and John Mattimore of the Miami Regional Office.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
8 Sep 2016, 9:24 am
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
7 Sep 2016, 9:10 am
Cohen Award in 2010, among other honors.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
6 Sep 2016, 12:12 pm
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
1 Sep 2016, 12:26 pm
., received investor monies and charged the firm as a relief defendant for purposes of recovering the allegedly ill-gotten gains it received.The Investigation was conducted by the Atlanta Regional Office, under the supervision of William Hicks and Walter Jospin, and the litigation will be led by Paul Kim and supervised by Graham Loomis.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to… [read post]
31 Aug 2016, 11:03 am
To submit comments, use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
31 Aug 2016, 10:13 am
These notices will be posted on the Commission's Internet Web site at www.sec.gov.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
31 Aug 2016, 8:34 am
RBC agreed to cease and desist from committing or causing further violations and to pay $500,000 in disgorgement, $77,759 in interest, and a $2 million penalty.The SEC’s investigation was conducted by George Parizek, Brittany Hamelers, and Amanda de Roo, assisted by trial counsel Fred Block and supervised by Timothy England.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to… [read post]
30 Aug 2016, 11:33 am
No money has been taken or withheld from harmed investors to pay whistleblower awards.For more information about the whistleblower program and how to report a tip: http://ift.tt/NFydSr.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
30 Aug 2016, 8:37 am
No money has been taken or withheld from harmed investors to pay whistleblower awards.By law, the SEC protects the confidentiality of whistleblowers and does not disclose information that might directly or indirectly reveal a whistleblower’s identity.For more information about the whistleblower program and how to report a tip: http://ift.tt/NFydSr.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or… [read post]
29 Aug 2016, 1:58 pm
SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
26 Aug 2016, 1:02 pm
The SEC appreciates assistance from the Financial Industry Regulatory Authority.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
25 Aug 2016, 3:01 pm
To submit comments, use the SEC’s Internet submission form or send an e-mail to rule-comments@sec.gov.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
25 Aug 2016, 9:02 am
They will become effective 60 days after publication in the Federal Register, and advisers will need to begin complying with the amendments on Oct. 1, 2017.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
25 Aug 2016, 9:02 am
* * *SEC Orders and PenaltiesAssetMark – $500,000BB&T Securities – $200,000Banyan Partners – $200,000Congress Wealth Management – $100,000Constellation Wealth Advisors – $100,000Executive Monetary Management – $100,000HT Partners – $100,000Hilliard Lyons – $200,000Ladenburg Thalmann Asset Management – $200,000Prospera Financial Services – $100,000Risk Paradigm Group – $100,000Schneider Downs Wealth… [read post]
