Tag: Astarita Commentary

Brokers Compliance Enforcement Featured Articles Investors

SEC Subpoena, FINRA OTR – What do I do?

The SEC Serves a Subpoena, or seclaw.com/glossary/finra/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA wants an OTR. Now what? By Mark J. Astarita, Esq. Introduction to SEC Subpoenas If you are served with an SEC Subpoena, or just receive a letter or telephone call from the SEC or FINRA 8210 Request, that call or subpoena is a […]

Featured Articles

Securities Lawyer Mark J. Astarita’s Significant Matters

Obtained decision from FINRA’s National Adjudicatory Council which reversed a hearing Panel’s findings of violation, vacated all sanctions and dismissed the complaint. Successfully defended broker-dealer in arbitration with seclaw.com/glossary/hedge-fund/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>hedge fund claiming 5 million dollars in losses for misrepresentations regarding firm’s abilities, platform, and expertise. Zero award for the Claimant. Obtained […]

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Brokers Compliance

Rule 8210 – How You Respond Makes a Difference

For FINRA member firms, and employees of FINRA firms (even those who are not registered) seclaw.com/glossary/finra-rule-8210/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>FINRA Rule 8210 (Provision of Information and Testimony and Inspection and Copying of Books) gives FINRA the authority to request documents and testimony from firms, registered persons and, in FINRA’s view, other persons and entities […]

Arbitration Primer

Hearing Hearing 

Securities arbitrations, in fact, all arbitrations, are conducted in the same manner that a court trial is held, without some of the formalities. There are opening statements, first by the attorney for the claimant (typically a customer) and then by the respondents (the broker and/or his firm). The openings are […]