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17 Jul 2012, 2:58 am
By Mark Astarita. [read post]
28 Oct 2011, 5:00 am
Showing Judgment Firms Must Protect Customer Information – Always by Mark Astarita in SEClaw.com The SEC has provided another example of an unintentional violation [of Regulation S-P], and charged three former brokerage executives for failing to protect confidential information about their customers. [read post]
24 Jun 2011, 2:00 am
– In this post, Mark Astarita discusses a controversial article in the NY Post alleging that FINRA targets small firms much more aggressively than large ones. [read post]
25 Jun 2010, 5:00 am
by Mark J. [read post]
14 Jun 2010, 5:00 am
Atkins October 9, 2007 SEC Division of Enforcement Enforcement Manual SEC Release No. 5310 SEC’s Form 1662 The Wells Notice in SEC and NASD Investigations by Mark Astarita in SEC Law .com Evaluating the Mission: A Critical Review of the History and Evolution of the SEC Enforcement Program by: Paul S. [read post]
9 Apr 2010, 5:00 am
Facebook Tells Employees Not to Sell Shares by Mark J. [read post]
26 Mar 2010, 5:00 am
Advisors Allowed to Get Social by Mark Astarita in onWall Street As social media sites have become more popular with the general public, advisors have been drawn to them. [read post]
3 Mar 2010, 1:06 pm
That seems like a logical position to take, and it looks to me like my colleague Mark Astarita (author of seclaw.com) agrees as well, although the Court rejected that argument, siding with FINRA that the functions were regulatory in nature. [read post]
4 Feb 2010, 8:21 am
----------------Mark Astarita, Esq. is a securities attorney who represents brokers and firms in every aspect of their litigation, compliance and regulatory matters. [read post]
2 Feb 2010, 6:54 am
---Mark Astarita, Esq. is a securities attorney who represents financial professionals nationwide on all aspects of their business and compliance needs. [read post]
5 Oct 2009, 5:00 pm
Astarita’s Securities Law Blog section on arbitration. [read post]
2 Oct 2009, 9:00 am
from Mark J. [read post]
2 Oct 2009, 3:00 am
Thanks to my friend and fellow securities lawyer Mark Astarita in New York for highlighting a recent SEC against against a former broker and investment advisor. [read post]
6 Jul 2009, 4:00 am
Astarita on SECLaw.com – The Securities Law Blog Workplace Computers and the Attorney Client Privilege - Part 2 by Paul G. [read post]
3 Jun 2009, 3:03 am
Plus, Mark Astarita of SECLaw.com is covering the saga quite well, such as his latest blog about how Mark Cuban has turned around and sued the SEC for violating the Freedom of Information Act. [read post]
23 Feb 2009, 1:43 pm
Importing legal blogs: NYC-area securities and broker-dealer attorney Mark Astarita seeks others' thoughts on general legal web sites importing the full text of legal blog posts without consent from the author. [read post]
23 Jan 2009, 4:18 pm
Business Development at JD Supra, (@JChristi) Monique Altheim, Brooklyn, NY, attorney, (@molecule18)Jill Windwer, NYC, VP Digital Products and Law.com, (@jwindwer)Mark Astarita, NY/NJ, securities litigator and broker-dealer attorney, (@astarita)Kathleen Scanlon, Long Island, NY, real estate lawyer, (@kasesq94)heckmanpage, Alpharetta, GA, (@heckmanpage) Unfiltered Orange, Austin, Texas, Orange Legal Technologies, (@complexd)Patrick DiDomenico, NYC, lawyer and KM… [read post]
9 Dec 2008, 2:20 pm
My friend Mark Astarita recently made two posts on his blogs over at SEClaw.com about the recent arrest and civil and criminal charges against attorney Marc Dreier. [read post]
