SEC Law Firm

For decades, the attorneys with the SEC law firm of Sallah Astarita & Cox, LLC have been representing investors, brokers and financial firms in litigation, arbitration and regulatory businessmanmazemi600-resize-600x338investigations. As former broker-dealer and SEC Staff attorneys, they have the experience and knowledge to effectively represent their clients all SEC law matters across the country.

The firm has successfully defended SEC insider trading investigations, FINRA Enforcement Proceedings and has represented parties on over 600 securities arbitrations. Their services include:

Securities Regulation

  • SEC & FINRA Investigations & Inquiries
  • State Financial Investigations
  • SEC Administrative Proceedings
  • SEC Examinations
  • Unregistered Offerings
  • Temporary Restraining Orders (TROs)
  • Preliminary & Permanent Injunctions
  • Insider Trading
  • Market Manipulation
  • Pump & Dump Schemes
  • Ponzi Schemes
  • Misrepresentations in Public Filings
  • Court-appointed receivers
  • Mutual Funds
  • Hedge Funds
  • Accounting Fraud
  • Internal Investigations


Securities Arbitration & Litigation

  • Registered Representatives
  • Broker-Dealers
  • Investor losses
  • Suitability
  • Failure to Supervise
  • Churning
  • Unauthorized & Excessive Trading
  • Selling Away
  • Defamation
  • Wrongful Termination
  • Non-solicitation Agreements
  • Non-compete Agreements
  • Promissory Notes
  • Form U-5 Damage
  • Investment Advisors


The firm offers free consultations and cost effective fee arrangements. Call them today at 212-509-6544