Search for: "Mark Astarita"
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25 Jul 2017, 11:16 am
All payments are made out of an investor protection fund established by Congress that is financed entirely through monetary sanctions paid to the SEC by securities law violators.For more information about the whistleblower program and how to report a tip, visit http://ift.tt/NFydSr.SEC 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]
24 Jul 2017, 8:41 am
He received his B.A. from the University of Virginia.SEC 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]
19 May 2016, 12:30 pm
Phillips of the Chicago Regional Office.SEC 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]
17 Nov 2015, 2:00 pm
Louis-based firm said it now expects the unit to add $210 million to $230 million in revenue, compared to $332 million when the acquisition was first announced.With Stifel Deal Pending, Advisor Attrition Spikes at Barclays | IAG Breaking News:----------Mark Astarita represents brokers and advisers in their transitions between every major broker-dealer, and has been doing so for decades. [read post]
13 Sep 2016, 9:35 am
SEC 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]
29 Aug 2016, 1:58 pm
SEC 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]
24 Jun 2019, 9:13 am
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
13 Jun 2016, 6:38 am
An updated EDGAR Filer Manual provides the technical requirements needed for filers to begin using Inline XBRL.SEC 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]
6 Aug 2014, 10:57 am
If there is any doubt, read the entire reportFINRA Disciplinary Sanctions Rising Rapidly in 2014 After Significant Decline in 2013 - Sutherland Asbill & Brennan LLP.If you are faced with a FINRA investigation, or an 8210 request, read Mark Astarita's article Tips For Responding to an SEC Subpoena, and another on responding to FINRA. [read post]
18 Apr 2016, 8:21 am
ET or contact filingfees@sec.gov.SEC 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]
17 Feb 2016, 1:02 pm
It uses a risk-based approach to examinations to fulfill its mission to promote compliance with U.S. securities laws, prevent fraud, monitor risk, and inform SEC policy.SEC 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]
30 Aug 2016, 8:37 am
No money has been taken or withheld from harmed investors to pay whistleblower awards.By law, the SEC protects the confidentiality of whistleblowers and does not disclose information that might directly or indirectly reveal a whistleblower’s identity.For more information about the whistleblower program and how to report a tip: http://ift.tt/NFydSr.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or… [read post]
22 Sep 2017, 7:49 am
SEC 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]
9 Apr 2019, 12:44 pm
Department of Homeland Security.SEC Press Release--- If you believe 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]
3 Jul 2019, 3:05 pm
, email Mark Astarita or call 212-509-6544 to speak to a securities lawyer. [read post]
18 Nov 2015, 4:03 am
Once they join a firm, they'd be required to take a more specialized exam correlated to their particular role.Whether this avoids training costs is doubtful, and while it is outrageous that firms charge their new hires on how to use their internal software, it is a step in the right direction.FINRA’s Proposed Exam Change Could Be a Boon for Recruiting:---Mark Astarita is a securities attorney who represents brokers and investors across the country in their… [read post]
12 Nov 2015, 6:28 am
You are getting screwed.Call me - 212-509-6544 Related Articles:Transition Agreements are Negotiable - Even for Credit Suisse BrokersTime to Ban Mandatory Deferred Compensation - Morgan Stanley Admits It Uses Employee Funds For Its Own Benefit------Mark Astarita is a nationally recognized securities lawyer who has spent the past 25 years representing brokers and financial advisers across the country in their disputes with their firms. [read post]
1 Sep 2016, 12:26 pm
., received investor monies and charged the firm as a relief defendant for purposes of recovering the allegedly ill-gotten gains it received.The Investigation was conducted by the Atlanta Regional Office, under the supervision of William Hicks and Walter Jospin, and the litigation will be led by Paul Kim and supervised by Graham Loomis.SEC Press Release--- If you need help with a securities litigation, arbitration or litigation issue, email Mark Astarita or call 212-509-6544 to… [read post]
28 Sep 2017, 8:52 am
Attorney’s Office for the District of Massachusetts, the Department of Justice, and the Public Company Accounting Oversight Board.SEC 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 2017, 1:35 pm
This report both provides a current view of these topics, based on available data, as well as highlighting areas where future analysis could be warranted," said DERA Acting Director Scott Bauguess.For more information about the study, and its findings, analyses and conclusions, follow DERA on Twitter, @SEC_DERA.SEC 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… [read post]
