Since the virtual dawn of securities arbitration in the early 1980s, the attorneys at Sallah Astarita & Cox, LLC have provided nationwide representation to investors and financial professionals as their securities arbitration lawyer. Mark J. Astarita, Esq. is a nationally recognized securities arbitration attorney, who has represented parties in over […]
Investors
NASDAQ Obtains Authority to Halt Trading in OTCBB Stocks
Hedge Fund Creation, Regulation and Compliance
By Mark J. Astarita, Esq. In its most expansive definition, a hedge fund is a private investment fund, usually structured as limited partnership, managed by the general partner who makes the investment decisions and collects a management and incentive fee. The investors in the fund are the limited partners, who […]
Email Pump and Dump Scams Revealed
SEC Cracks Down on Email Pump and Dumps Seven Actions Against 31 Defendants For Violations in Connection with Email and Website Stock Promotions By Mark J. Astarita, Esq. For those of you who are tempted to follow the “investment advice” that you receive in emails, or that you find on […]
Analysts Suits
Analysts take the heat for failing Internet Companies By Mark J. Astarita, Esq. With the burst of the “Internet Bubble” starting in April 2000, and running through the end of that year, investors lost an untold amount of money in the stock market. While one can debate the size of […]
Analyst Conflicts – Problems? Solutions?
The SEC Releases an Investor Alert on Analyst Conflicts and Suggests that Investors do their Own Research. By Mark J. Astarita, Esq. June 30, 2001 The SEC has posted an Investor Alert on Analyst Recommendations and Conflicts Tilted “Analyzing Analyst Recommendations”. According to the Commission, the Alert is intended to warn investors of […]
Who regulates the stock market in the US?
The stock market has many different regulators. The primary regulator is the Securities and Exchange Commission. The stock exchanges are governed by their own organizations, under the direction of the SEC. Stock brokers and brokerage firms are regulated by the Financial Industry Regulatory Authority (FINRA) which was formerly known as […]
Millennials Are a ‘Generation Lost’ for Financial Matters
Millennials are a “generation lost,” according to a new study, and are in for a tough time when they finally reach retirement, thanks to a lack of understanding of financial matters as much as a lack of interest.The study, titled “Generation Lost: Engaging Millennials with Retirement Saving,” from BNY Mellon […]
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 […]
10b5-1 Plans Under Attack –
Who is watching your plan? By Mark J. Astarita, Esq. Recently the media has caught on to the newest regulatory trend – the investigation and review of 10b5-1 plans. These plans, created by the SEC when it adopted Rule 10b5-1 are used by hundreds, if not thousands of executives, and […]
