Tag: SEC Investigation

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What Does a Securities Lawyer Do?

Mark J. Astarita, Esq. is a nationally recognized securities attorney, representing clients in securities investigations, arbitrations and litigation matters across the country. You can contact him at 212-509-6544 or by email at mja@sallahlaw.com While securities law is itself a specialized field of law, there is more than one type of […]

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SEC Charges Three in Digital Asset Frauds

he Securities and Exchange Commission today charged three individuals with defrauding hundreds of retail investors out of more than $11 million through two fraudulent and unregistered digital asset securities offerings. According to the SEC’s complaint, filed in U.S. District Court for the Eastern District of New York, from approximately December […]

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Gamestop Investigations?

 By now, all of our readers are aware of the dramatic rise in Gamestop’s stock, after a short squeeze generated by the retail investors from Reddit. The question I am hearing most now, is, will the SEC do something about it. Interesting question – but I have to answer with […]

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Investigative Transcripts are not Confidential

Kirkland vs. Superior Court of LA County, 2002 Ca. App. Lexis 105 (Cal. App., 2Dist., 1/9/02 Discovery Issues * Enforcement Practices/Procedures * Record of Proceedings (Regulatory). Transcripts of testimony in connection with a regulatory investigation are not confidential and may be produced in a subsequent private lawsuit. Guess? Inc. sued […]