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Congress Still Trading On Non-Public Information?

Even a looming scandal wouldn’t deter some of Congress’ most eager stock traders." This article from Politico details the outrageous…

The 25 Highest-Earning Hedge Fund Managers And Traders

2016 wasn't as good a year for the top hedge fund managers as prior years, but they all did pretty…

Brokers Can Win Promissory Note Cases

We all know that defending promissory note cases for brokers is difficult. After all, those notes have been written, revised,…

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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…