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Securities Law Blog


For years Mark Astarita has been writing a legal blog. The blog addresses issues affecting broker and investors, with the occasional off-topic post on politics and the Internet.

In 2005 we began to incorporate Mark's blogs into SECLaw. To view the current blog, follow this link to the SECLaw.com Blog. We have collected here the monthly archives of the blog, for those who care to delve into history.

February 2006

HealthSouth Settles Securities Fraud Claims for $445 Million; Merrill Lynch Settles 23 Class Action Suits for $164 Million; Is SOX Unconstitutional?; NASD Sued Over Test Error; Morgan Stanley to Pay 15 Million for Lost Emails; For Brokers, Leaving Just Got Easier; RIM unveils plan to keep BlackBerrys Alive; AIG settles for over $1.6 bln; Hurt soldier billed for gear to be repaid; How to Kick a Fund's Tires; Army Forces Wounded Soldier to Pay for Destroyed Body Armor; AIG Settlement Rumors; Former General Re and AIG Officers Indicted; Hedge Fund Adviser Registration Arrives; NASD Investigating Hedge Fund Sales to Small Investors Back

January 2006

SEC To Relax Registration Requirements for Hedge Fund Managers?; Libby Indicted for Perjury - When Will They Learn?; Your Printer Is a Spy; Are Your Research Analysts Registered?; Merrill Lynch Call Center Problems; SCOTUS - Start Over; SEC Issues Subpoena To Frist; Fistfights and Poker: Powerful New Dispute Resolution Tools?; DeLay Is Indicted on Two New Charges; Chris Byron Weighs in on HCA Insider Trading Probe; Langone: Spitzer has a "Boondoggle of a Case"

December 2005

More on the NASD Appeal of an SEC Reversal; Morgan Stanley Says 'Record Is Clear' That Florida Judge Erred; SEC Closes Taser Investigation, No Action Taken; NASD Challenges SEC's Authority...And Loses; Langone to mount campaign against Spitzer; NASDAQ Merger Completed, NYSE Acquisition Approved; SEC Accounting and Auditing Changes Coming?; Fraud Counts Dismissed from SEC Complaint Against Scrushy

November 2005

Shareholders May Get Material on Internet; Mutual Fund Settlements Coming to an End?; NASD Arbitrators Award $2M In Merrill Sex-Discrimination Case; More Reg FD Cases Coming SEC Won't Appeal Dismissal of Reg FD Case Against Siebel; ImClone Insider Trading Cases Settle;

October 2005

SEC To Relax Registration Requirements for Hedge Fund Managers?; Libby Indicted for Perjury - When Will They Learn?; Your Printer Is a Spy; Are Your Research Analysts Registered?; Merrill Lynch Call Center Problems; SCOTUS - Start Over - From the National Review Editors on Harriet Miers; SEC Issues Subpoena To Frist; Fistfights and Poker: Powerful New Dispute Resolution Tools?; DeLay Is Indicted on Two New Charges; Chris Byron Weighs in on HCA Insider Trading Probe; Langone: Spitzer has a "Boondoggle of a Case"

September 2005

No Private Right to Sue Under SOX-nly SEC May Enforce; HCA Trading Analysis and a Different Insider Scandal?; DeLay Indicted in Campaign Finance Probe; Frist Knew About Blind Trust Investments; HCA Subpoenaed Over Sen. Frist's Shares; Senate Majority Leader Frist In Insider Trading Scandal?; Merrill Lynch to Buy Advest; SEC halts alleged Ponzi scheme in Boca Raton

August 2005

8 Former Partners of KPMG Indicted; States Squander Stock Research Settlement Funds?; SEC Files Emergency Action to Freeze Proceeds of Alleged Insider Trading in Reebok Securities; Big Board Seat Sells for a Record $3 Million; NASD Fines Morgan Stanley $1.5 Million for Fee Based Accounts; CIBC to pay $2.4B in Enron case - Settlements total 7.1 Billion; Christopher Cox Approved by Senate as SEC Chairman

July 2005

Cox Promises Vigorous Enforcement; Phony Fax Stock Scam; Ebbers Gets 25 Years - Have We Lost Our Minds?; SEC to pursue Richard Scrushy in Civil Court

  

 


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Copyright 2010. VGIS Communications LLC. All Rights Reserved. VGIS Communications, LLC - 41 Watchung Plaza, Suite 249, Montclair, New Jersey 07042 - 973-509-7333. Nothing herein is intended as legal or financial advice. The law is different in different jurisdictions, and the facts of a particular matter can change the application of the law. Please consult an attorney or your financial adviser before acting upon the information contained in this article. For additional information, contact Mark J. Astarita, Esq., a partner in the law firm of Beam & Astarita, LLC, who represents clients in a wide variety of finance related matters. Mr. Astarita can be contacted by email at astarita@beamlaw.com.

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