Commentary, news and links of interest to financial advisers.


SEC Files Complaint against Internet Newsletter

 By Mark J. Astarita, Esq. October 27, 1998 – The SEC announced the filing of a complaint in the U.S. District Court for the Northern District of Texas seeking a” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>permanent injunction and civil penalty against the author of an investment newsletter which was published on the Internet. The complaint […]

broker defamation
Arbitration Brokers Investors

Liar, Liar?

Misrepresentation cases in securities arbitration By Mark J. Astarita, Esq. This is one of Mark’s original columns from September 1996 in Research Magazine. It has been updated since then, most recently in June of 2021. The reality is…not much has changed. Misrepresentation claims are one of the most common claims […]