Crypto
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SEC Wrong on Crypto
May 9, 2023Crypto lawyer and XRP supporter John Deaton says that the U.S. Securities and Exchange Commission (SEC) is moving in the [...] -
Former Co-Lead Engineer of FTX Trading Charged by SEC for Role in Multiyear Scheme to Defraud Equity Investors
February 28, 2023The Securities and Exchange Commission (SEC) has charged Nishad Singh, the former Co-Lead Engineer of FTX Trading Ltd. (FTX), for [...] -
SEC Tightens Cryptocurrency Enforcement
January 22, 2023The SEC continues to make cryptocurrency-related enforcement a top priority under Chair Gary Gensler, bringing 30 enforcement [...]
- SEC Charges 8 in Connection with $45 Million Crypto Fraud
- SBF Borrowed a Half Billion Dollars from his Fund
- BlockFi Agrees to Pay $100 Million in Penalties and Pursue Registration of its Crypto Lending Product
Arbitration
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
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What is FINRA
January 7, 2023Compliance
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SEC Halts Alleged Cannabis Fraud Scheme
May 23, 2023The SEC obtained an emergency order to halt an alleged ongoing offering fraud and Ponzi-like scheme by Integrated National [...] -
Musk Wants to Stop his ‘Twitter Sitter’ Agreement
May 12, 2023He tried once before and was denied, but Elon Musk has asked a federal appeals court in New York to throw out his 2018 agreement [...] -
HSBC Securities and Scotia Capital Fined $15M and $7.5M Respectively by SEC for Recordkeeping Failures
May 11, 2023On May 11, 2023, the SEC charged HSBC Securities (USA) Inc. and Scotia Capital (USA) Inc. for their employees’ longstanding [...]
- Betterment Settles SEC Charges Concerning Tax Loss Harvesting Service
- SEC Charges Charlie Javice, Founder of Frank, with Fraud in Connection with $175 Million Sale to JPMorgan Chase
- SEC Charges Chatham Asset Management and Founder Anthony Melchiorre for Improper Fixed Income Securities Trading
Brokers
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JPMorgan, Ex-Broker Agree to Non-Solicit Truce in TRO Battle
May 19, 2023Less than a week after it filed for a temporary restraining order against a broker who jumped to Morgan Stanley, JPMorgan Chase [...] -
What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
When the SEC Comes Calling – 2023 Update
February 26, 2023The
SEC Subpoenas – Tips for Responding – 2023
February 26, 2023How you respond to an SEC subpoena makes a difference. Tips from an experienced securities [...]Whistleblowers Need Lawyers
February 26, 2023By Mark J. Astarita, Esq. Realizing the importance of assistance and information from an insider of a company, the SEC [...]Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
Whistleblowers
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SEC Awards More Than $12 Million to Two Whistleblowers
May 10, 2023SEC Awards Over $12 Million to Two Whistleblowers for Their Assistance in Successful Enforcement Action March 31, 2023 – [...] -
SEC Awards More Than $12 Million to Two Whistleblowers
April 1, 2023The SEC has announced that it has awarded more than $12 million to two whistleblowers who provided crucial information and [...] -
Whistleblowers Need Lawyers
February 26, 2023By Mark J. Astarita, Esq. Realizing the importance of assistance and information from an insider of a company, the SEC [...] -
Activision Blizzard to Pay $35 Million for Failing to Maintain Disclosure Controls Related to Complaints of Workplace Misconduct and Violating Whistleblower Protection Rule
February 4, 2023Feb. 3, 2023 — The Securities and Exchange Commission today announced that Activision Blizzard Inc., a video game [...] -
SEC Issues $28 Million Award to Joint Whistleblowers
January 24, 2023The Securities and Exchange Commission today announced an award of more than $28 million to joint whistleblowers who provided [...] -
SEC Awards More Than $5 Million to Whistleblower
January 14, 2023Jan. 13, 2023 —The Securities and Exchange Commission today announced an award of more than $5 million to a whistleblower [...]
- SEC Awards More Than $37 Million to Whistleblower
- SEC Awards $20 Million to Whistleblower
- SEC Awards More Than $10 Million to Whistleblower
Investors
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What is a Broker CRD Number
April 13, 2023Introduction A broker’s CRD number is a unique identifier FINRA assigns to each registered person and entity. It’s [...]
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Securities Arbitration Overview-2023 Update
February 25, 2023Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has [...]
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Investor Legal Information Center
February 25, 2023Sponsored by Mark J. Astarita, Esq. – representing brokers and investors in securities and employment disputes for over [...]
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What Happens If I Ignore an SEC Subpoena?
January 20, 2023Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
- What is FINRA
- IRS Delays Rule For Reporting Venmo, Etsy, Airbnb Payments
- SEC Charges Pharmaceutical Co. Chief Information Officer in $8 Million Insider Trading Scheme
Corp Finance
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What Does a Securities Lawyer Do?
March 16, 2023Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, [...] -
Tips for Going Public
February 24, 2023Going public is an exciting milestone for any company. It is a crucial step that brings with it a lot of advantages and [...]
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What Happens If I Ignore an SEC Subpoena?
January 20, 2023Anyone who follows our blog or website knows that the SEC Enforcement Division is getting tougher on [...]
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