Featured Articles

Responding to an 8210 Request

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 FINRA the authority to request documents and testimony from firms, […]

Churned or Traded?

Churned or Traded?

The common perception among the general public is that a customer who trades his or her account on a regular basis is a broker’s dream. While the commissions generated by […]

Overview of the Securities Arbitration Process

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 represented broker-dealers, investment advisers, hedge funds, investment partnerships, individual brokers […]

Cold Calling Rules

Cold Calling Rules

Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of marketing a service or product by calling prospective clients “cold” […]