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Category: Featured Articles

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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…

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…

Churned or Traded?

The common perception among the general public is that a customer who trades his or her account on a regular…

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…

The Wells Notice SEC/FINRA Investigations

By Mark Astarita Being the subject, target, or even a witness in an SEC or a FINRAinvestigation is not a…

Cold Calling Rules

Compliance with securities regulations is only the beginning By Mark J. Astarita, Esq. Introduction Cold calling is a method of…

Securities Arbitration Hearing Overview

 Just What Happens at an Arbitration? By Mark J. Astarita, Esq. Past columns have touched on arbitration hearings, and have…

Federal Securities Law, a Securities Lawyer Guide

The SEC, FINRA, the States, and much more Introduction The history of the securities regulation and federal securities law are well beyond…

Introduction to State Securities (Blue Sky) Laws

The state securities laws and the regulatory scheme has not changed much since 2001 when I published the first version…

Insider Trading – The Legal and Illegal

"Insider trading" is a term that most investors have heard and usually associate with illegal conduct. Recent government actions, including…