Arbitration
What is Securities Arbitration?
December 13, 2019Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late [...]
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
- Churned or Traded?
- Insight into the FINRA Arbitrator Selection Process
Brokers
Lessons in Zoom meeting safety: Useful tips for advisors and clients during the coronavirus pandemic
May 29, 2020The Zoom videoconferencing app has become almost as pervasive as the virus itself; millions of workers, friends and family [...]This is Your Life – Your CRD Record
October 29, 2019CRD, Your Permanent Record, and Your Future By Mark J. Astarita, Esq. Note: CRD disclosures can be removed in limited [...]
How Long Does an SEC Investigation Take?
August 22, 2019SEC investigations can be a harrowing experience for the witness as well as the targets. One of the first questions my clients [...]
- The Wells Notice SEC/FINRA Investigations
- Brokers Say Moving to RIA Was Positive
- Overview of the Securities Arbitration Process
Compliance
How Long Does an SEC Investigation Take?
August 22, 2019SEC investigations can be a harrowing experience for the witness as well as the targets. One of the first questions my clients [...]
The Wells Notice SEC/FINRA Investigations
August 12, 2019By Mark Astarita Being the subject, target, or even a witness in an SEC or a FINRAinvestigation is not a pleasant experience. As [...]
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
- FINRA Hearing Panel Dismisses Charges against Registered Rep.
- Overseas Stock Manipulator Settles SEC Charges
Corp Finance
Accredited Investor Definition
July 4, 2019Under the federal securities laws, while a company may not offer or sell securities without registration with the SEC, there are [...]
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 [...]
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 [...]
