Tag: Compliance

Compliance Other

Message Board Poster Settles SEC Case

By Mark J. Astarita, Esq. The SEC</div><div class=glossaryItemBody>The United States Securities and Exchange Commission is the federal agency charged with the regulation and oversight of the securities markets, public companies and securities professionals.(…)</div>” href=”https://www.seclaw.com/glossary/sec/” data-gt-translate-attributes='[{“attribute”:”data-cmtooltip”, “format”:”html”}]’>SEC announced that it had accepted an offer of settlement from a 15 year old defendant who the Commission accused of manipulating the price of 9 different securities, generating profits of $272,000 for himself, using his custodial brokerage account. According to the SEC, the […]

Brokers Investors

For The Record

Note: Mark Astarita was the legal columnist for Research Magazine from 1995 to 2000. This column was the first in  of 5 years of monthly articles. BY MARK J. ASTARITA, ESQ. By now, you’re probably aware of Spring Street Brewing’s successful initial public offering completed last year. The company conducted […]

Compliance Other

NYSE Awards 10/02

Thirty Awards, Including a 9 Million Dollar Member-Member Award, and a Loss for a Customer in An Employee Stock Option Case Against Goldman NYSE AWARDS, 10/02: Among the 30 Awards released by the New York Stock Exchange’s Arbitration Department for the month of October 2002 were Awards depicting all types […]

Compliance Other

Comments on California Suit

Comments on the Perino Report and the California Court Decision NYSE STATEMENTS RE CALIFORNIA ARBITRATION: Posted on the NYSE Arbitration WebSite are two new statements, one of which responds to the Perino Report and the Nov. 12 federal court decision in California and the other of which offers three options […]

Compliance Other

NYSE Arbitration Awards

Twenty New Awards, Ten Awarding Damages to Customers Twenty Awards issued from the New York Stock Exchange’s Arbitration Department in February, ten of which awarded Claimants damages on their claims. Three of the losing Awards and one of the winners for customer-Claimants were the ML Media Opportunity Partners disputes that […]