Search for: "Mark Astarita" Results 1 - 20 of 628
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1 Jun 2021, 12:44 pm by Astarita
Securities and Exchange Commission (SEC), as a Senior Counsel for the SEC’s Division of Enforcement, and as a private attorney handling white collar matters nationwide.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a well-known, national securities lawyer [read post]
18 Jun 2021, 8:55 am by Astarita
  212-509-6544 The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
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]
29 Jun 2021, 3:49 am by Astarita
Merrill Lynch Penalized $11.6 Million For Improper UIT Rollovers: The transactions forced clients to pay millions of dollars in needless fees, according to Finra.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
29 Jun 2021, 3:57 am by Astarita
UBS To Let Two-Thirds Of Employees Adopt Permanent Hybrid Work: The move by UBS is in stark contrast with many of its U.S. rivals that are calling most workers back to the office.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
29 Jun 2021, 3:57 am by Astarita
Ex-Wells Fargo Duo With $580M AUM Goes Independent With LPL: Arise Private Wealth operates in Rolling Hills Estates, Calif.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
29 Jun 2021, 3:46 am by Astarita
Why Clients Fire Financial Advisors: Clients leave for many reasons, but many can be headed off with some advance planning, columnist Bryce Sanders writes.The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [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]
14 Jun 2021, 8:35 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
22 Jun 2021, 9:15 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
15 Jun 2021, 6:25 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
15 Jun 2021, 12:45 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
9 Jun 2021, 12:01 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
25 Jun 2021, 10:20 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
17 Jun 2021, 10:55 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
7 Jun 2021, 12:31 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
8 Jun 2021, 7:51 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
11 Jun 2021, 11:01 am by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]
21 Jun 2021, 12:35 pm by Astarita
The Securities Law Blog is a service of SECLaw.com, and Mark Astarita, a national securities lawyer with the law firm of Sallah Astarita & Cox, LLC [read post]