Nationally recognized securities lawyer Mark Astarita's personal law page. Representing brokers, advisers, and the occasional investor across the country.
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Mark J. Astarita, Esq. | New York Securities Lawyer | securitieslawyer.us Reviews
https://securitieslawyer.us
Nationally recognized securities lawyer Mark Astarita's personal law page. Representing brokers, advisers, and the occasional investor across the country.
securitieslawyer.us
Office Locations – New York Securities Lawyer
http://www.securitieslawyer.us/office-locations
New York Securities Lawyer. Mark J. Astarita. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. Sallah Astarita and Cox, LLC. 100 Park Avenue, Suite 1600. New York, New York 10017. Verona, New Jersey 07044. In addition, our firm has an office in Boca Raton, FL, and we have the ability to meet with clients in a variety of locations throughout the New York Region – including Wall Street, White Plains, Newark, and Saddle River. Skip Credit Cards and Preload Monthly Payments Instead. The i...
Investor Alert: Pimco Gets SEC Wells Notice for its Total Return Active ETF –
http://www.securitieslawyer.us/2015/08/investor-alert-pimco-gets-sec-wells-notice-for-its-total-return-active-etf
New York Securities Lawyer. Mark J. Astarita. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. Investor Alert: Pimco Gets SEC Wells Notice for its Total Return Active ETF. August 17, 2015. Pimco disclosed that it received a Wells notice. The SEC is looking at a four-month time period between the fund’s launch on Feb. 29, 2012 and June 30, 2012, examining how Pimco valued smaller-size positions in nonagency mortgage-backed securities purchased by the ETF during that time, according...
New York Securities Lawyer and Expert
http://www.securitieslawyer.us/securities-lawyer
New York Securities Lawyer. Mark J. Astarita. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. For over 30 years, in 24 states and over 700 proceedings, Mark J. Astarita has been representing clients as their securities lawyer in all aspects of securities markets. His article, Introduction to Securities Arbitration. Has been downloaded tens of thousands of times. In July, 1995, Mark created the The Securities Law Home Page. Now known simply as SECLaw.com. And the New York Post. Mark i...
Investigations, Exams & Audits – New York Securities Lawyer
http://www.securitieslawyer.us/practice-areas/investigations-exams-audits
New York Securities Lawyer. Mark J. Astarita. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. Investigations, Exams & Audits. Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark’s practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need. The Securities Law Blog.
Securities Arbitration Litigation Lawyer
http://www.securitieslawyer.us/practice-areas/litigation-arbitration-mediation
New York Securities Lawyer. Mark J. Astarita. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. Arbitration, Litigation & Mediation. With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters – when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process. To see if he can help you. Fo...
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securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 06/01/2014 - 07/01/2014
http://securitiesregulation.blogspot.com/2014_06_01_archive.html
Securities Defense Lawyer Blog. Saturday, June 28, 2014. Enforcement Division’s Chief Operating Officer Adam Storch to Leave SEC. The Securities and Exchange Commission today announced that Adam D. Storch, chief operating officer and managing executive of the Enforcement Division, is leaving the agency next month. Links to this post. Friday, June 27, 2014. SEC Announces Order for Tick Size Pilot Plan. 8220;A robust pilot program will generate critical data for assessing the impact of wider tick sizes on ...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 09/01/2014 - 10/01/2014
http://securitiesregulation.blogspot.com/2014_09_01_archive.html
Securities Defense Lawyer Blog. Tuesday, September 30, 2014. Fee Rate Advisory #2 for Fiscal Year 2015. Fee Rate Advisory #2 for Fiscal Year 2015. For questions on Section 31 fees, please contact the Office of Interpretation and Guidance in the SEC’s Division of Trading and Markets at (202) 551-5777 or by e-mail at tradingandmarkets@sec.gov. The Commission will issue further notices on its website as appropriate to keep the public informed of developments relating to the effective dates of the fee rates ...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 01/01/2014 - 02/01/2014
http://securitiesregulation.blogspot.com/2014_01_01_archive.html
Securities Defense Lawyer Blog. Friday, January 31, 2014. SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds. SEC Charges Manhattan-Based Private Equity Manager With Stealing $9 Million in Investor Funds. The Securities and Exchange Commission today charged a Manhattan-based private equity manager and his firm with stealing $9 million from investors in their private equity fund. . According to the SEC’s complaint filed in federal court in Manhattan, Penn t...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 12/01/2013 - 01/01/2014
http://securitiesregulation.blogspot.com/2013_12_01_archive.html
Securities Defense Lawyer Blog. Tuesday, December 31, 2013. Compliance Outreach Program for Investment Companies and Investment Advisers. The SEC’s Office of Compliance Inspections and Examinations (OCIE), Division of Investment Management, and the Asset Management Unit of the Division of Enforcement jointly sponsor the compliance outreach program. The seminar agenda is here. 8220;The compliance outreach program is an important part of the Commission’s initiative to share information about observed...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 04/01/2014 - 05/01/2014
http://securitiesregulation.blogspot.com/2014_04_01_archive.html
Securities Defense Lawyer Blog. Wednesday, April 30, 2014. SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors. SEC Charges Utah-Based Retirement Plan Administrator With Defrauding Investors. The Securities and Exchange Commission today announced fraud charges and an asset freeze against a Utah-based retirement plan administrator who defrauded investors in self-directed individual retirement accounts (IRAs), causing them to lose millions of dollars of savings. According to the ...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 08/01/2014 - 09/01/2014
http://securitiesregulation.blogspot.com/2014_08_01_archive.html
Securities Defense Lawyer Blog. Sunday, August 31, 2014. SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue. SEC Charges Two Information Technology Executives With Mischaracterizing Resale Transactions to Increase Revenue. The SEC’s investigation was conducted by James E. Etri, Todd B. Baker, and David R. King of the Fort Worth office. Links to this post. Saturday, August 30, 2014. SEC Adopts Asset-Backed Securities Reform Rules. The Securitie...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 03/01/2014 - 04/01/2014
http://securitiesregulation.blogspot.com/2014_03_01_archive.html
Securities Defense Lawyer Blog. Monday, March 31, 2014. SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives. SEC Charges Two Men With Insider Trading on Confidential Information From Their Wives. The Securities and Exchange Commission today announced two separate cases against men who profited by insider trading on confidential information they learned from their wives about Silicon Valley-based tech companies. . Who bought the stock of an acquisition target of a company...
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 08/01/2015 - 09/01/2015
http://securitiesregulation.blogspot.com/2015_08_01_archive.html
Securities Defense Lawyer Blog. Tuesday, August 11, 2015. SEC Files Subpoena Enforcement Action Against Michael J. Forster for Failure to Produce Documents in Investigation of SLO 3 Holdings LLC. SEC Files Subpoena Enforcement Action Against Michael J. Forster for Failure to Produce Documents in Investigation of SLO 3 Holdings LLC. SEC Files Subpoena Enforcement Action Against Michael J. Forster for Failure to Produce Documents in Investigation of SLO 3 Holdings LLC. Links to this post.
securitiesregulation.blogspot.com
Securities Defense Lawyer Blog: 06/01/2015 - 07/01/2015
http://securitiesregulation.blogspot.com/2015_06_01_archive.html
Securities Defense Lawyer Blog. Tuesday, June 02, 2015. SEC Charges Investment Adviser With Defrauding Retired Teachers. The Securities and Exchange Commission today charged an investment adviser in Miami with siphoning money from his investment fund and defrauding investors, including several local teachers and law enforcement officers. In a parallel action, the U.S. Attorney’s Office for the Southern District of Florida today announced criminal charges against Williamson. Links to this post. The Securi...
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Securities Lawyer Blog — Published by Colorado Securities Attorneys — The Tenenbaum Law Firm
Published By The Tenenbaum Law Firm. No posts to display. We're sorry, there are no posts to display here. FREE CONSULTATION 303.919.1300. 5299 DTC Blvd,. Greenwood Village, CO 80111. CALL US: 303.919.1300. The Tenenbaum Law Firm. Law Firm Blog Design.
Securities Lawyer | FINRA Lawyer | Soreide Law Group
Did your broker or financial advisor. 1 Recommend risky investments? 2 Excessively trade your account? 3 Execute unauthorized trades? 4 Over-concentrate your portfolio? 5 Make material misrepresentations? 6 Excessively use margin? 7 Recommend unsuitable investments? 8 Sell you auction rate securities? 9 Sell you a high risk private placement? 10 Sell you highly leveraged ETF's? 11 Sell you junk or church bonds? 12 Fail to limit securities losses? 14 Earn huge commissions while you lost money? 2335 E....
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Mark J. Astarita, Esq. | New York Securities Lawyer
Mark J. Astarita, Esq. New York Securities Lawyer. Arbitration, Litigation & Mediation. Investigations, Exams & Audits. New York Securities Lawyer. Experienced. Knowledgeable. Dedicated. Arbitration, Litigation, Mediation. Investigations, Audits and Exams. Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship. From the SEC concerning its Total Return ...
securitieslawyer101.blogspot.com
Hamilton & Associates Securities Law | Brenda Hamilton Attorney
Hamilton and Associates Securities Law Brenda Hamilton Attorney. Securities Lawyer 101 l Brenda Hamilton. Sunday, August 2, 2015. SEC Charges Phillip Kueber – Going Public Attorneys. Https:/ www.securitieslawyer101.com/2015/cynk-phillip-keuber/. Securities Law and Going Public Attorneys. Https:/ www.securitieslawyer101.com/2015/going-public/. Wednesday, July 29, 2015. OTC Markets OTC Pink Disclosure Obligations. Http:/ www.occupyotcmarkets.com/2015/otc-markets-disclosure-obligations/. On January 3, ...
Going Public Lawyers and Direct Public Offerings | Securities Lawyer 101
Hamilton and Associates Law Group, P.A. Eugene H. Steele. Michael T. Williams. Ask Securities Lawyer 101. Crowdfunding - Regulation A Attorneys. Form S-1 Registration Statements. Direct Public Offering Attorneys. The securities attorneys at Hamilton and Associates Law Group have provided many private companies with their going public solution. The registration statement lawyers will design and implement the going public structure most beneficial to your company. Hamilton and Associates has repres...Tradi...
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SECURITIES AND INVESTMENT FRAUD LAWYERS - NEW YORK (212) 247-0000, WASHINGTON D.C. (202) 333-0000, HOUSTON (713)871-0000, DALLAS (214) 871-0000
SECURITIES AND INVESTMENT FRAUD LAWYERS - NEW YORK (212) 247-0000, WASHINGTON D.C. (202) 333-0000, HOUSTON (713)871-0000, DALLAS (214) 871-0000.
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