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3 Sep 2019, 10:33 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
14 Jul 2010, 3:25 am by Andrew Lavoott Bluestone
One recently decided  is Kleinser v Astarita  NY Slip Op 31675U. [read post]
12 Nov 2008, 11:36 pm
I would love to see a copy - astarita@beamlaw.comSigning the protocol will be a benefit to the Merrill brokers who are signing the retention bonuses, and a boon to those BoA brokers who have been with the firm.But how much of a benefit is it? [read post]
22 Feb 2018, 4:01 am by Mark Astarita
"SEC Press Release---Mark Astarita is a securities attorney with 30 years of experience representing investors and financial professionals across the country. [read post]
25 May 2018, 12:00 pm by SEClaw Staff
The attorneys at Sallah Astarita & Cox include experienced former SEC staff attorneys, and securities attorneys with decades of experience in securities manipulation cases. [read post]
9 Dec 2018, 6:01 am by Mark Astarita
---https://www.cnbc.com/2018/11/29/sec-charges-floyd-mayweather-dj-khaled-for-promoting-icos-without-disclosing-payments.html---Mark Astarita represented investors, brokers and issuers in their securities regulatory and litigation matters, including SEC and FINRA proceedings, arbitrations, and due diligence in connection with public and private offerings and investments for over 30 years. [read post]
2 Mar 2018, 1:17 pm by Mark Astarita
Call Mark Astarita at 212.509.6544 or email him at mja@sallahlaw.com.https://www.fa-mag.com/news/sec-launches-massive-cryptocurrency-probe-37441.html [read post]
12 Aug 2015, 6:30 am by Mark Astarita
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]
30 Jul 2018, 8:05 am by Mark Astarita
---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
7 Feb 2015, 5:11 am by Mark Astarita
FINRA is filing a proposed rule change to amend Rules 12214, 12601, 13124 and 13601 to require that parties give more advance notice before cancelling or postponing a hearing, or be assessed a higher late cancellation fee if such notice is not provided.For more information, go to SR-FINRA-2015-003 - FINRA---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
9 Mar 2015, 7:35 am by Mark Astarita
U.S. authorities are investigating whether a hacker is behind the online publication of a cache of Morgan Stanley's client data and not the financial adviser who was fired in connection with the breach, according to CNN and The Wall Street JournalFor more information, go to Morgan Stanley breach probe shifts to hacker from fired employee: WSJ---The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
21 Nov 2014, 9:39 am by Mark Astarita
It seems that real,"Michael Hendon, a representative from the Commodity Futures Trading Commission.At a recent securities law summit, government representatives reviewed some of the tricks that dupe investors out of their money.Forewarned is forearmed.For more information - 5 ways fraudsters trick investors - Nov. 20, 2014--- The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
11 Dec 2014, 2:02 pm by Mark Astarita
Morgan Stanley will pay $4 million to settle charges that it failed to stop a rogue Rochdale Securities LLC trader from fraudulently buying $525 million in Apple stock in 2012.For more information, go to Morgan Stanley Fined $4 Million for Role in Fraudulent Apple Trades - WSJ---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
7 May 2015, 7:10 am by Mark Astarita
Revenues at the largest independent broker-dealers grew 10.3% year-over-year in 2014, a figure in line with the broad market but below the 13.2% year-over-year revenue increase in 2013.For more information, go to The independent broker-dealers with the biggest revenue and asset gains in 2014---The attorneys at Sallah Astarita & Cox, LLC include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
4 Oct 2013, 7:00 am by Mark Astarita
  The whistleblowers are expected to ultimately receive approximately $125,000 in total.The attorneys at Sallah Astarita & Cox have worked with whistleblowers, and may be able to help you. [read post]
13 Aug 2013, 6:15 am by Mark Astarita
 The attorneys at Sallah Astarita & Cox have been working with advisors of all experience levels for decades. [read post]
11 Jul 2017, 7:37 am by Mark Astarita
"---Sallah Astarita & Cox is a national securities law firm representing investors and brokers across the country in litigation, arbitration, and regulatory matters. [read post]
24 Sep 2014, 9:00 am by Mark Astarita
 ---The attorneys at Sallah Astarita & Cox include veteran securities litigators and former SEC Enforcement Attorneys. [read post]
14 Aug 2014, 11:00 am by Mark Astarita
  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]
31 May 2014, 7:06 am by Mark Astarita
For more information contact Mark Astarita at 212-509-6544 or email us. [read post]