Arbitration
FINRA Discovery Guide
May 3, 2019Discovery has always been a problem in litigation matters. In broad strokes, plaintiffs want to see every document that might [...]
SDNY Defines Customer under FINRA Rule 12200
April 26, 2019Judge Laura Taylor Swain of the Southern District of New York has issued a decision defining a customer, for purposes of FINRA [...]
Overview of the Securities Arbitration Process
March 8, 2019Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities [...]
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
- Typical Customer Arbitration Claims
Brokers
Brokers Say Moving to RIA Was Positive
July 2, 2019A new report from TD Ameritrade Institutional, which gathered data from current and former brokerage reps, illustrates a [...]Overview of the Securities Arbitration Process
March 8, 2019Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities [...]
U.S. Opens Criminal Probe Into Trading in Fannie, Freddie Bonds
June 2, 2018The U.S. has opened a criminal investigation into whether traders manipulated prices in the $550 billion market for unsecured [...]
- Series 7 and Drug Testing
- UBS Pulls a Fast One on its Own Employees
- How Long Does an SEC Investigation Take?
Compliance
How Long Does an SEC Investigation Take?
October 22, 2017One of the first questions my clients ask when faced with a subpoena from the SEC is how long is this going to take? While I hate [...]
Recent FINRA Rule Filings
October 19, 2017When FINRA decides to change or modify any of its rules, or to add a new rule, it is required to provide notice to its members [...]
Responding to an 8210 Request
September 23, 2017By Mark J. Astarita, Esq. FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) is the [...]
- FINRA Hearing Panel Dismisses Charges against Registered Rep.
- Overseas Stock Manipulator Settles SEC Charges
- Wells Fargo Huge Data Breach – Lessons for Firms and Their Lawyers
Corp Finance
SEC Proposes to Improve Disclosures Relating to Acquisitions and Dispositions of Businesses
May 5, 2019The SEC has voted to propose rule amendments to improve the information that investors receive regarding the acquisition and [...]Accredited Investor Definition
July 4, 2017Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are [...]
Congress Still Trading On Non-Public Information?
May 21, 2017Even a looming scandal wouldn’t deter some of Congress’ most eager stock traders.” This article from Politico details [...]