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SEC Files Charges to Stop Fraudulent Misuse of Cancer-Fighting Investments to Fund Restaurant Businesses
31 Jul 2017, 2:38 pm by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Files Fraud Charges Against Former Brokers Targeting Federal Retirees
31 Jul 2017, 9:58 am by Mark Astarita
Calamari.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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces Whistleblower Award of More Than $1.7 Million
27 Jul 2017, 10:35 am by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/
Halliburton Paying $29.2 Million to Settle FCPA Violations
27 Jul 2017, 8:15 am by Mark Astarita
Department of Justice and the Federal Bureau of Investigation.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]
Securities Law Blog - http://seclaw.blogspot.com/
Jessica Magee Named Associate Regional Director for Enforcement in Fort Worth Office
26 Jul 2017, 1:45 pm by Mark Astarita
Mathews Award in 2015.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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Issues Investigative Report Concluding DAO Tokens, a Digital Asset, Were Securities
25 Jul 2017, 1:31 pm by Mark Astarita
 The investigation was supervised by Lara Shalov Mehraban.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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Announces $2.5 Million Whistleblower Award
25 Jul 2017, 11:16 am by Mark Astarita
  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]
Securities Law Blog - http://seclaw.blogspot.com/
Wells Fargo Huge Data Breach - Lessons for Firms and Their Lawyers
24 Jul 2017, 3:22 pm by Mark Astarita
Astarita, Esq. is a securities litigation attorney with the national law firm of Sallah Astarita & Cox, and represents brokerage firms, brokers, and investors in securities arbitration, litigation, and regulatory matters. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC Names Bryan Wood as Director of the Office of Legislative and Intergovernmental Affairs
24 Jul 2017, 8:41 am by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/
Federal Regulatory Agencies Announce Coordination of Reviews for Certain Foreign Funds Under Volcker Rule
21 Jul 2017, 12:58 pm by Mark Astarita
 Media Contacts:Federal Reserve                     Eric Kollig                              … [read post]
Securities Law Blog - http://seclaw.blogspot.com/
Record SEC Award Expected for JPMorgan Whistleblowers
20 Jul 2017, 7:53 am by Mark Astarita
For more information call Mark J. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
The Securities and Exchange Commission today barred a New York-based attorney from appearing or practicing before it and acting as an officer or director of a public company after finding that he made false and misleading statements in corporate filings. The SEC’s order finds that David Lubin committed fraud while serving as a director and corporate counsel of Entertainment Art, a public company in which Lubin also was a large shareholder.  Lubin negotiated the sale of all of the outstanding stock of Entertainment Art, including both restricted and previously registered shares that were purportedly “free trading,” to an acquaintance interested in purchasing shell companies.  Absent a valid exemption, common ownership of all of the shares of a public company would require the owner to register the shares for resale to the public.  According to the SEC’s order, Lubin fraudulently misrepresented in Entertainment Art’s corporate filings that the purportedly free-trading shares had not been purchased by the acquaintance.  This left the false impression that those shares remained immediately available for public resale.  During the next two years and until he left the company, Lubin drafted and signed SEC filings that continued to lie about the true ownership of the company’s stock. According to the SEC’s order, soon after the company was renamed Biozoom, more than 14 million shares were resold to the public in an illegal unregistered distribution for illicit proceeds of $34 million.  The SEC froze assets from the unregistered sales in 2013. “As the SEC's order notes, Lubin drafted and signed misleading public filings and masked the true ownership and restricted nature of a significant portion of the company’s stock,” said Antonia Chion, Associate Director in the SEC’s Enforcement Division.  “Lubin’s deception led to many of these same shares being illegally resold to the general public by others a few years later.” The U.S. Attorney’s Office for the Southern District of Florida today announced criminal charges aga
19 Jul 2017, 3:11 pm by Mark Astarita
Attorney’s Office for the Southern District of Florida.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]
Securities Law Blog - http://seclaw.blogspot.com/
Not All Trial Lawyers Can Handle All Kinds Of Trials
18 Jul 2017, 8:08 am by Mark Astarita
Astarita is a partner in the securities law firm of Sallah Astarita & Cox. [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/
FINRA Statistics, Feb. 2017: The Pullback Continues
11 Apr 2017, 7:29 am by Mark Astarita
You can also visit his site - New York Securities Lawyer and his firm's site - Sallah Astarita & Cox, LLC. [read post]
Securities Law Blog - http://seclaw.blogspot.com/
SEC News - Fraudulent EB-5 Offerings, Hackers, and FCPA Charges
13 Jan 2017, 8:07 am by SEClaw Staff
The enforcement action marks the first time the SEC has charged hacking into a law firm’s computer network.Teva Pharmaceutical Paying $519 Million to Settle FCPA ChargesTeva Pharmaceutical Industries Limited has agreed to pay more than $519 million to settle parallel civil and criminal charges that it violated the Foreign Corrupt Practices Act by paying bribes to foreign government officials in Russia, Ukraine, and Mexico.The attorneys at Sallah Astarita & Cox include… [read post]
Securities Law Blog - http://seclaw.blogspot.com/
David Saltiel Named to Head Office of Analytics and Research in the Division of Trading and Markets
6 Oct 2016, 10:47 am by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/
Credit Suisse Paying $90 Million Penalty for Misrepresenting Performance Metric
5 Oct 2016, 10:02 am by Mark Astarita
  The SEC appreciates the assistance of the Swiss Financial Market Supervisory Authority.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]
Securities Law Blog - http://seclaw.blogspot.com/
Investment Adviser Charged With Cherry-Picking and Misleading Clients
4 Oct 2016, 7:37 am by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/
SEC, FINRA and the MSRB to Hold Compliance Outreach Program for Municipal Advisors
3 Oct 2016, 8:02 am by Mark Astarita
 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]
Securities Law Blog - http://seclaw.blogspot.com/