 |
The Securities Law Letter
September 2015
The Law of the Financial Markets
|
Hello Mark, Welcome to the Securities Law Letter, a publication of
SECLaw.com
and
Sallah Astarita & Cox, LLC,
with offices in New York, New Jersey and Florida. Sallah Astarita & Cox, LLC represents investors, brokers and firms in litigation, arbitration and regulatory matters, nationwide. For a free consultation, call us at 212-509-6544 or
email us
.
|
Spike in FINRA, SEC Regulation Leaves Brokers Exposed
FINRA and the SEC are cracking down and firms are looking to maximize profits (which sometimes means getting rid of brokers). None of that is good for brokers, and the top teams are not immune from the problems. Read more here.
|
Massive Insider Trading Scheme Uncovered - Lots of Blame to Share
A massive insider trading scheme has allegedly been uncovered by the SEC and the DOJ, according to the SEC, involving computer hacking, foreign investors, tens of millions of dollars, and years of trading activity. Click here for more information.
|
Court Stops SEC From Pursuing Hearing Before its Own ALJ
The SEC's abuse of its administrative law procedures has become legend, and a success rate of 90-100% demonstrates the unfairness of the process. Continue reading about this issue.
|
Be Prepared - Clients Now Asking About Compliance Procedures
Everyone involved in the securities business knows that there has been a significant increase in compliance issues over recent years. Read Mark Astarita's thoughts on a recent survey conducted by the Wall Street Journal regarding this matter,
|
More Filings and Regulations on the Way for Investment Advisers and Investment Companies
The SEC is proposing to increase the reporting and disclosure requirements for Registered Investment Advisers and Investment companies. Read more here.
|
Small Percentage of Brokers Fined is a Bad Thing?
Read about how FINRA enforcement proceedings are affecting financial professionals here.
|
Investor Alert: Market Risk: What You Don't Know Can Hurt You
FINRA has reissued an investor alert regarding market risk, to remind investors that investing involves risks as well as rewards and that, generally speaking, the higher the risk, the greater the potential reward. Get more information here.
|
F
or over 25 years,
Mark Astarita
has been representing financial professionals, broker-dealers, investment advisers, and their investors, in all aspects of the legal and regulatory environment.
Sallah Astarita & Cox
is an AV rated law firm. Our partners have backgrounds as SEC Staff attorneys, in house and outside counsel to large and small brokerage firms and former criminal prosecutors. Call our office and let us help you achieve your goals, with our decades of experience, unmatched dedication and exceptional service.
|
Sallah Astarita & Cox, LLC
60 Pompton Avenue, Verona, New Jersey 07044 - 973-559-5566
100 Park Avenue, 16th Floor, New York, New York 10017 - 212-509-6544
One Boca Place, 2255 Glades Road, Boca Raton, FL 33431 - 561-989-9080
|
|
|
|
|
|
|
|
