Federal Securities Law, a Securities Lawyer Guide
The SEC, FINRA, the States, and much more Introduction The history of the securities regulation and federal securities law are well beyond the scope of this work, and the reader is commended to any one...
View ArticleCold Calling Rules
Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of marketing a service or product by calling prospective clients “cold” –...
View ArticleThe Wells Notice SEC/FINRA Investigations
By Mark Astarita Being the subject, target, or even a witness in an SEC or NASD investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial...
View ArticleOverview of the Securities Arbitration Process
Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has represented broker-dealers, investment...
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Securities Arbitration Hearing Overview
Just What Happens at an Arbitration? By Mark J. Astarita, Esq. Past columns have touched on arbitration hearings, and have raised the question just what happens during an arbitration hearing. It seems...
View ArticleFINRA Rule 8210 Request Response
FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the authority to request documents and testimony from firms, registered persons and, in FINRA’s...
View ArticleChurned or Traded?
The common perception among the general public is that a customer who trades his or her account on a regular basis is a broker’s dream. While the commissions generated by such activity might very well...
View ArticleHow Long Does an SEC Investigation Take?
One of the first questions my clients ask when faced with a subpoena from the SEC is how long is this going to take? While I hate to give the typical lawyer answer, that answer is, “it depends.” It...
View ArticleFinders Explained – Be Careful
A question I am often asked is what is the definition of a finder, or questions that lead to that question. The issue arises when an unregistered person or entity introduces investors to an issuer,...
View ArticleGPB Capital, Brokers Under Fire
Already the focus of inquiries by the SEC and FINRA, the FBI recently made an unannounced visit to the New York investment firm, GPB Capital Holdings. GPB Capital has raised $1.8 billion through...
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