The Law of the Financial Markets from Top Securities Lawyers Tuesday, January 18, 2022
While the SEC has extremely broad investigative and enforcement powers, it cannot file criminal charges. It can, and often does, work with the Department of Justice and the United States Attorney’s Office to bring those charges. The SEC and the DOJ often work together, with the SEC sending its more […]
A seclaw.com/glossary/ponzi-scheme/” class=”glossaryLink” data-cmtooltip=”
” >Ponzi scheme is a fraudulent investment operation where the operator, an individual or organization, pays returns to its investors from new capital paid to the operators by new investors, rather than from profit earned by the operator. Operators of Ponzi schemes usually entice new investors by offering higher returns […]
New investors are often confused by a reverse seclaw.com/glossary/stock/” class=”glossaryLink” data-cmtooltip=”
” >stock split. Simply put, a reverse stock split reduces the number of outstanding shares of the company, thereby increasing value of the individual shares. Think of it as the reverse of the typical stock split, where an investor receives X number of […]
There is no residency or citizenship requirement in the definition of an accredited investor. Many entities and individuals are accredited investors. Rule 501 of Regulation D defines the term. For individuals, accredited investors include: Any director, executive officer, or general partner of the issuer of the securities being offered or sold, or any director, executive officer, […]
An indexed seclaw.com/glossary/annuity/” class=”glossaryLink” data-cmtooltip=”
” >annuity is a complex financial product. It is a type of contract between an insurance company and the investor where the company promises to provide returns linked to the performance of a market index such as the Dow Jones Industrial Average or the S&P 500. In the typical […]
Securities arbitration has become the most often used method of resolving disputes in the securities industry. Since the late 1970’s, seclaw.com/glossary/finra/” class=”glossaryLink” data-cmtooltip=”
” >FINRA and its predecessors have required brokerage firms and stock brokers into securities arbitration to resolve their disputes with each other, and with their customers. That requirement led to brokerage […]
By Mark Astarita Being the subject, target, or even a witness in an seclaw.com/glossary/sec/” class=”glossaryLink” data-cmtooltip=”
” >SEC or a FINRA investigation is not a pleasant experience. As I discussed in my column “When the SEC Comes Calling” a financial professional’s involvement in a regulatory investigation or proceeding is extremely serious, and can be […]
Securities Arbitration is not like any other proceeding Nationally known securities attorney Mark Astarita has represented broker-dealers, investment advisers, hedge funds, investment partnerships, individual brokers and investors, across the country for over 30 years in well over 600 securities arbitrations. To find out if he can help you with your […]
Mark J. Astarita is nationally recognized securities attorney, admitted to practice law before all state and federal courts in the States of New York and New Jersey as well as the United States Supreme Court. Mr. Astarita graduated cum laude from New York Law School and has practiced law primarily as a […]
Securities law refers to the body of law that relates to the financial markets. That includes the oversight of stock brokers and investment advisers, the stock exchanges themselves, the brokerage firms, the sale of securities, mergers, acquisitions and much more. In short, if it in any way involves an investment […]
