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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]
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]
8 Jun 2014, 9:00 am by Mark Astarita
For more information contact Mark Astarita at 212-509-6544 or email us. [read post]
13 Jun 2014, 7:58 am by Mark Astarita
For more information contact Mark Astarita at 212-509-6544 or email us. [read post]
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]
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]
8 Aug 2019, 11:17 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
20 Aug 2019, 7:12 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
16 Aug 2019, 11:41 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
14 Aug 2019, 2:02 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
15 Aug 2019, 7:37 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
12 Aug 2019, 9:59 am by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
7 Aug 2019, 1:08 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
7 Aug 2019, 12:13 pm by Astarita
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
8 Mar 2018, 6:21 am by Mark Astarita
We help whistleblowers present their information to the SEC and guide them through the process, including presentations to the Commission, at no cost unless there is compensation to our client.If you believe you have a whistleblower claim, give us a call at 212-509-6544, or email Mark Astarita at mja@sallahlaw.com---Mark Astarita is a partner in the national securities law firm of Sallah Astarita & Cox, LLC. [read post]
18 Jul 2013, 9:27 am by Mark Astarita
For more information contact Mark Astarita at 212-509-6544 or by email [read post]