Cease and Desist Order Sought Against Internet Investor Relations Firm and its President On February 24, 1999 the SEC issued an order to institute cease-and-desist proceedings against a Minnesota-based investor […]
Securities law resources, including all rules, and regulations from the NASD, NYSE and SEC, with expert commentary from securities attorneys and legal professionals.
Hire Standards Regulators Call For Increased Scrutiny of Brokers with Disclosures By Mark J. Astarita, Esq. WHETHER JUSTIFIED OR NOT, the hiring and continued employment of brokers with disclosable events […]
Proposed NASD Rules Will Allow Allegations Against Brokers to be Made Public By Mark J. Astarita, Esq. Some of you may recall my column from October, 1996, “The SEC’s Bad […]