Investors

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What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com While securities law is itself a specialized field of law, there is more than one type of […]

Tips for a successful securities mediation
Arbitration Brokers Investors

Tips for a Successful Securities Mediation

Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities industry. It is a quicker and more cost-effective alternative to traditional court proceedings. With increasing frequency, investors and advisors are turning to mediation to make the process even more effective. Mediation is […]

Brokers Investors

Issues with Self-Directed IRAs

Self-directed IRAs are becoming increasingly popular as more and more people seek greater control over their retirement savings. With a self-directed IRA, you have the ability to invest in a wider range of assets, including real estate, private businesses, and commodities. What is a Self-Directed IRA? A self-directed IRA is […]

FINRA Office
Compliance Enforcement Investors

What Is FINRA

FINRA is the Financial Industry Regulatory Association and is the successor to the National Association of Securities Dealers. FINRA is authorized by Congress to regulate and oversee the broker-dealer industry, ensuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the […]

FINRA
Arbitration Investors Primer

What is FINRA

FINRA, the Financial Industry Regulatory Association, is the successor to the National Association of Securities Dealers and is authorized by Congress to regulate and oversee the broker-dealer industry, insuring that it operates fairly and honestly. It oversees over 4,000 brokerage firms and more than 600,000 brokers across the country—and analyzes […]