Compliance

Brokers Compliance TPC

SEC Deferred Prosecution Agreement

Sample Deferred Prosecution Agreement from the SEC Deferred Prosecution Agreements – where a wrongdoer agrees to cooperate with the government, and the government agrees not to prosecute the wrongdoer – are the stuff that television police shows are made of. We don’t see them too often in our securities defense […]

Brokers Compliance

NAC Upholds Due Process

NASD Adjudicatory Council Strikes Case Because of Delays Follows SEC Lead in Upholding Rights to Due Process and Fundamental Fairness after 7-year delay in commencing proceedings. By Mark J. Astarita, Esq. Delays by regulators in bringing enforcement actions is a recurring problem for brokers and firms, as well as their […]

Brokers Compliance

Calling England

Foreign Countries Have Their Own Securities Regs, and You Have to Comply With Them Too. By Mark J. Astarita, Esq. Financial professionals who are looking to solicit foreign investors have more to consider than the United States securities laws.  Just like the United States has an interest in protecting its citizens […]