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1 Dec 2015, 1:41 pm
The attorneys at Sallah Astarita & Cox will provide a free consultation - call Mark Astarita at 212-509-6544 or email him at mja@sallahlaw.comAdvisors With $1.4B Leave Credit Suisse For J.P. [read post]
1 Dec 2015, 12:00 pm
FINRA - Firm and representatives fined and ordered to pay restitution based on findings that they sold municipal securities for their own accounts to customers at aggregate prices (including any mark-ups) that were not fair and reasonable, taking into consideration all relevant factors, including the best judgment of the broker, dealer or municipal securities dealer as to the fair market value of the securities at the time of the transaction and of any securities exchanged or traded in… [read post]
25 Nov 2015, 5:00 am
Mark has also represented brokers in disputes with every firm and does so in an efficient and cost effective manner. [read post]
19 Nov 2015, 5:00 am
Merrill Lynch lost a team managing more than $2.9 billion to Raymond James & Associates,According to press reports, the move set a new recruiting record for Raymond James, surpassing a $2.4 billion team that left Morgan Stanley to join Raymond James in Florida.Advisors Chris Mahoney, his brother Kevin Mahoney, Mark C. [read post]
18 Nov 2015, 4:03 am
Once they join a firm, they'd be required to take a more specialized exam correlated to their particular role.Whether this avoids training costs is doubtful, and while it is outrageous that firms charge their new hires on how to use their internal software, it is a step in the right direction.FINRA’s Proposed Exam Change Could Be a Boon for Recruiting:---Mark Astarita is a securities attorney who represents brokers and investors across the country in their… [read post]
17 Nov 2015, 2:00 pm
Louis-based firm said it now expects the unit to add $210 million to $230 million in revenue, compared to $332 million when the acquisition was first announced.With Stifel Deal Pending, Advisor Attrition Spikes at Barclays | IAG Breaking News:----------Mark Astarita represents brokers and advisers in their transitions between every major broker-dealer, and has been doing so for decades. [read post]
12 Nov 2015, 6:28 am
You are getting screwed.Call me - 212-509-6544 Related Articles:Transition Agreements are Negotiable - Even for Credit Suisse BrokersTime to Ban Mandatory Deferred Compensation - Morgan Stanley Admits It Uses Employee Funds For Its Own Benefit------Mark Astarita is a nationally recognized securities lawyer who has spent the past 25 years representing brokers and financial advisers across the country in their disputes with their firms. [read post]
11 Nov 2015, 10:18 am
Advisors Have Leverage In Employment AgreementsReviewing Broker Transition Agreements--------------------Mark Astarita is a nationally known securities lawyer who has represented brokers and advisers in their transitions, loans and compensation issues for decades. [read post]
11 Nov 2015, 9:22 am
.'Merrill s Bulls Enter the Digital Advice Race | IAG Breaking News------Mark Astarita represents brokers in disputes with their firms - including Merrill Lynch. [read post]
12 Aug 2015, 6:30 am
None of that is good for brokers, and the top teams are not immune from the problems.Brokers need to protect themselves; unfortunately from their own firms as well as overzealous regulators.Spike in FINRA, SEC regulation leaves star brokers exposed------------Mark Astarita represents financial advisers across the country in their regulatory, transition and employment matters. [read post]
11 Aug 2015, 4:42 am
Interesting interview with former LPL OSJ about his team's move from LPL to the more responsive Securities America.Financial Advisor IQ - Ex-LPL Team Gets Fewer Headaches at Securities America---------Mark Astarita and the attorneys at Sallah Astarita & Cox, LLC represent brokers and OSJs across the country who are changing, or considering changing, broker dealers. [read post]
4 Feb 2015, 8:00 am
---Mark Astarita is a securities attorney and computer enthusiast, who has been online since 1985. [read post]
11 Dec 2014, 5:56 am
For information on how Mark can help you, contact him at 212-509-6544, or by email. [read post]
17 Oct 2014, 7:00 am
---Mark Astarita is a nationally recognized securities lawyer who has represented parties on over 600 securities arbitrations. [read post]
30 Sep 2014, 10:00 am
-----------------------Mark Astarita is a securities arbitration attorney who has represented investors, firms and financial professionals, nationwide, in well over 600 arbitrations, for over 25 years. [read post]
24 Sep 2014, 9:00 am
This article makes a number of assumptions, but the suggestions are on the mark. [read post]
21 Aug 2014, 11:00 am
For more information contact Mark Astarita at 212-509-6544 or email us. [read post]
16 Aug 2014, 7:44 am
For more information contact Mark Astarita at 212-509-6544 or by email. [read post]
15 Aug 2014, 2:00 pm
To see if we can help you, call Mark Astarita at 212-509-6544 or email us. [read post]
14 Aug 2014, 11:00 am
Larry Roth: Defining the next 10 years for independent broker-dealers---The attorneys at Sallah Astarita & Cox represent independent firms and traditional broker-dealers across the country, as well as their individual advisers, in regulatory, compliance and litigation matters. i For more information, and to see how we can help you and your firm, contact Mark Astarita at 212-509-6544 or email us. [read post]
