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SEC Names Mark D. Reinhold as Deputy Chief Human Capital Officer in the Office of Human Resources

10 Jan 2020, 7:16 am by Astarita

Call Sallah Astarita & Cox at 212-509-6544. [read post]

Securities Law Blog - http://seclaw.blogspot.com/

Firm and Brokers Fined for Municipal Securities Sales With Unreasonable Mark-ups

1 Dec 2015, 12:00 pm by Mark Astarita

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]

Securities Law Blog - http://seclaw.blogspot.com/

Financial Advisor IQ - Ex-LPL Team Gets Fewer Headaches at Securities America

11 Aug 2015, 4:42 am by Mark Astarita

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]

Securities Law Blog - http://seclaw.blogspot.com/

Mark Sellers and Selden Companies Investigation

13 Jun 2017, 9:42 am by Mark Astarita

============Sallah Astarita & Cox, is a national securities law firm representing investors and financial professionals in all 50 states in regulatory, compliance and arbitration matters. [read post]

Securities Law Blog - http://seclaw.blogspot.com/

Oh My, Here Comes A Mistake.....

8 Jun 2014, 9:00 am by Mark Astarita

For more information contact Mark Astarita at 212-509-6544 or email us. [read post]

Securities Law Blog - http://seclaw.blogspot.com/

Why Do Investors Keep Buying Actively Managed Funds?

13 Jun 2014, 7:58 am by Mark Astarita

For more information contact Mark Astarita at 212-509-6544 or email us. [read post]

Securities Law Blog - http://seclaw.blogspot.com/

rebaseline0520

20 May 2016, 8:24 am by Mark Astarita

rebaseline0520 Read MoreSEC 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]

Securities Law Blog - http://seclaw.blogspot.com/

SEC Proposes to Modernize Disclosures of Business, Legal Proceedings, and Risk Factors Under Regulation S-K

8 Aug 2019, 1:42 pm by Astarita