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Regulatory News
SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
SEC Announces Initiative to Encourage Individuals and Companies to Cooperate and
Assist in Investigations
SEC Proposes New Rule to Effectively Prohibit Unfiltered Access and Maintain Market
Access Controls
SEC Charges California Telecom Company With Bribery and Other FCPA
Violations
SEC Freezes Assets of French Citizens Within Days of Insider Trading
SEC Charges Austin-Based Investment Adviser in Fraudulent Scheme Utilizing Football
Stars
FINRA Fines Pacific Cornerstone Capital, CEO $750,000 for Private
Placement Offering Failures
SEC Charges U.S. Subsidiary of World's Largest Inter-Dealer Broker for Displaying
Fictitious Trades and Misleading Customers SEC Charges California Firm and CEO With Defrauding Customers in Sales of Risky
Mortgage-Backed Securities
SEC Blocks Early-Stage Ponzi Scheme Involving Purported Investments in Personal
Injury Settlements
FINRA Expels Meeting Street Brokerage, Bars Broker, Sanctions Firm's
Owner for Market Manipulation, Other Violations
SEC Charges Former Officers of Subprime Lender New Century With Fraud
SEC Obtains Asset Freeze Against Co-Founder of Canopy Financial in $75 Million
Offering Fraud SPONSORING AN EVENT? If you are the sponsor of a seminar or educational event that relates to securities law, or the regulation of the markets, post the information here at the Securities Law Events Calendar. Access to the calendar is free, the posting is free, and your target audience, attorneys, brokers and investors, are here. NEW AND IMPROVED SECURITIES LAW FORUMS! Every day the discussions continue in the Securities Law Forums, where attorneys, investors, brokers, journalists and others with an interest in the markets, and the laws surrounding the markets, discuss hot topics of the day. View the active topic list, or go directly to the forums. |
Welcome Featured Articles The Case for Flat Fees For Defense In Securities Arbitration - the defense of customer claims in arbitration can be handled on a flat fee basis. Beam & Astarita, LLC provides the analysis and rationale. Lehman Principal Protected Notes Arbitrations - arbitration claims arising from the marketing of Lehman Principal Protected Notes are on the rise as investors seek recover from other firms and brokers for their losses. Analysis of the issues and the claims by Mark J. Astarita, Esq.
SEC Issues Concept Release Seeking Comment on
Structure of Equity Markets
SEC Issues Concept Release Seeking Comment on Structure of Equity Markets
SEC Announces Initiative to Encourage
Individuals and Companies to Cooperate and Assist in Investigations
SEC Proposes New Rule to Effectively Prohibit
Unfiltered Access and Maintain Market Access Controls
SEC Charges California Telecom Company
With Bribery and Other FCPA Violations
The Window of Opportunity Is Opening Again So Jump!
Wells Fargo
Advisors, I'm Not Happy
Beam
& Astarita, LLC represents
all participants in the financial markets in arbitration, litigation and
regulatory matters, and continues to provide commentary and analysis for
SECLaw.com. Visit their site on the
web. A list of articles and commentary from the firm is also available. Introduction
to Securities Arbitration - The ultimate primer on securities
arbitration, authored by Mark J. Astarita, Esq., a New York securities
attorney who has represented parties to securities arbitrations in virtually
every major city for 20 years. An excellent introduction to the process.
More Links
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