Analysis

Analysis Brokers Investors

Promissory Note Fraud

NASDR Warns Investors and Brokers of Promissory Note Fraud Schemes. Investors Beware. By Mark J. Astarita, Esq. The NASD has issued a regulatory alert to broker-dealers regarding the significant number of fraudulent promissory note schemes that have been offered to investors and to remind members and registered persons of the […]

Analysis Brokers

Too Much Information

 The NASD May Soon Protect Investors at Broker’s Expense By Mark J. Astarita, Esq. This time the National Association of Securities Dealers (NASD) has gone too far. On November 27, 1996, the association proposed to make full disclosure of the entire contents of the disciplinary and litigation section of a […]

Analysis Brokers News

Doing Business Abroad

Making sure your overseas business complies with foreign as well as US laws By Mark J. Astarita, Esq. We all know that the Internet has made the world smaller, and opened numerous opportunities for various businesses to conduct business with persons and entities residing in foreign countries. With those opportunities […]