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Category: Brokers

 Commentary, news and links of interest to financial advisers.

How 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…

Tips for Responding to an SEC Subpoena

Being forced to participate in an SEC investigation, even as a witness, can be a harrowing experience, and this is…

Responding to an 8210 Request

By Mark J. Astarita, Esq. FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives…

Why advisors will feel freer to make career moves in 2018

Many financial advisers are shaking off the uncertainties of 2017 and getting ready to consider making the moves that they…

FINRA Hearing Panel Dismisses Charges against Registered Rep.

In a rare decision, a FINRA hearing panel dismissed all charges against a registered representative who was accused of falsifying…

Overview 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…

SEC Files Fraud Charges Against Brokers Targeting Federal Retirees

Elder fraud is becoming a significant concern of regulators, and firms. As the older population grows, so do the issues…

Record SEC Award Expected for JPMorgan Whistleblowers

The SEC is expected to present the largest whistleblower award in its history – possibly $70.6 million or more to…

Not All Trial Lawyers Can Handle All Kinds Of Trials

I am a trial lawyer, a litigator, and have been at it for over 30 years. While I have represented…

Markups, Markdowns

In recent years, markups have become a growing concern for regulators, and brokerage firm markup policies and procedures have come…