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The information contained in this web site, and its associated web sites, is provided as a service to the Internet…

SDNY Defines Customer under FINRA Rule 12200

Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes…

Everyone Does It Defense Falls Short

Even coupled with the ever popular "I didn't know it was a crime" defense, an Investment Advisor loses. Lessons in…

Securities Lawyer – Arbitration, Mediation, Litigation

Nationally recognized securities lawyer Mark Astarita's personal law page. Representing investors and brokers across the country for 30 years. Source:…

Who regulates the stock market in the US?

The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock markets are…

What is a security?

A security is a form of ownership in an entity.While some believe that in order to be a security the…

What is Securities Arbitration?

Arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970's, FINRA…

Millennials Are a ‘Generation Lost’ When It Comes to Financial Matters

Millennials are a “generation lost,” according to a new study, and are in for a tough time when they finally…

Tepper: Believers of SunEdison rumor must be high

Billionaire David Tepper tells CNBC that investors who bought into rumors he might take a position in SunEdison must be…

FINRA Approves Rule to Protect Seniors and Other Vulnerable Adults from Financial Exploitation 

FINRA announced a rulemaking item to help firms better protect seniors and other vulnerable adults from financial exploitation. The proposal…