The Law of the Financial Markets from Top Securities Lawyers
Wednesday, April 23, 2025
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
By Mark J. Astarita, Esq. Understanding the implications of an More in this category »
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Anyone who follows our blog or website knows one thing. The SEC Enforcement Division is getting tougher on financial firms. [...]
SEC Extends Compliance Dates for Amendments to Investment Company Names Rule
March 15, 2025
SEC Grants Six-Month Extension for Fund Name Compliance Deadlines Washington, D.C., March 14, 2025 – The Securities and [...]
Tips for a Successful Securities Mediation
February 19, 2025
Tips for a Successful Securities Mediation Securities arbitration is a proven method for resolving disputes in the securities [...]
SEC Seeks Candidates for Membership on the Investor Advisory Committee
February 15, 2025
The Securities and Exchange Commission is seeking candidates for appointment as members of the SEC’s Investor Advisory [...]
What Happens If I Ignore an SEC Subpoena?
December 8, 2024
Securities arbitration has become the most often-used method of resolving disputes in the securities industry. Since the late [...]
By Mark J. Astarita, Esq. A repeating question on my website comes from brokers who are named in an arbitration proceeding by [...]
A Ponzi scheme is a fraudulent investment operation. The operator, either an individual or organization, pays returns to its [...]
Mark J. Astarita, Esq., a nationally recognized and Martindale AV-rated securities attorney, explains the SEC investigation [...]
The SEC, FINRA, the States, and much more Introduction The history of securities regulation and federal securities law is well [...]
By: Mark J. Astarita, Esq. Defending an SEC Investigation Do you need an SEC Investigation Attorney? The answer is probably yes, since facing an SEC investigation can be intimidating for individuals or organizations, and defending against it requires expertise and insight. The SEC is a powerful regulatory entity that can […]
Just about every securities broker is aware of the existence of the Protocol for Broker Recruiting (the “Broker Protocol”). Unfortunately, too many brokers think they understand the Protocol, and move forward with a transition without the assistance of experienced counsel. That leads to a motion for an injunction in court, with a […]
SEC enforcement investigations cover a wide range of targets and witnesses, from the big investment banks and their employees, to public companies to private companies who are soliciting investments, small companies. The SEC conducts its investigations privately, and does so by requesting voluntary cooperation or issuing subpoenas for documents and […]
Paul S. Atkins was sworn into office today as the 34th Chairman of the Securities and Exchange Commission. Chairman Atkins was nominated by President Donald J. Trump on January 20, 2025, and confirmed by the U.S. Senate on April 9, 2025. “I am honored… SEC Press Release
The Securities and Exchange Commission today announced an award of approximately $6 million to joint whistleblowers who provided new information that led to the opening of an examination and provided a roadmap for an enforcement action that resulted in… SEC Press Release
The Securities and Exchange Commission’s Office of Investor Education and Advocacy (OIEA) today unveiled its anti-fraud public service campaign, which warns investors about the devastating impact relationship investment scams can have on their financial… SEC Press Release
The Securities and Exchange Commission today announced a two-year extension of the effective and compliance dates for rule amendments adopted in August 2024 that require many types of registered funds to more frequently report portfolio-related… SEC Press Release
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 25 roundtable, “Know Your Custodian: Key Considerations for Crypto Custody.” “It is important for the SEC to grapple with custody issues… SEC Press Release
The Securities and Exchange Commission today published new data and analysis in a pair of reports that provide the investing public with updated key information about registered investment companies and money market funds. “It is important that… SEC Press Release
The Securities and Exchange Commission’s Crypto Task Force has announced the agenda and panelists for its April 11 roundtable, “Between a Block and a Hard Place: Tailoring Regulation for Crypto Trading.” “Hearing the public’s concerns and… SEC Press Release
How Investing Fuels the U.S. Economy and Builds Your Financial Future The SEC Shines a Light on Investing During National Financial Literacy Month Each April, the U.S. Securities and Exchange Commission (SEC), through its Office of Investor Education and Advocacy (OIEA), uses National Financial Literacy Month to spotlight the critical […]
False Revenue Projections at Heart of $284 Million Bond Fraud The U.S. Securities and Exchange Commission (SEC) has filed charges against Randall “Randy” Miller, Chad Miller, and Jeffrey De Laveaga, accusing them of orchestrating a deceptive municipal bond scheme involving fabricated financial documents. The scheme allegedly misled investors in two […]
According to Binance, Ripple Labs has reached a settlement with the U.S. Securities and Exchange Commission (SEC), concluding a lengthy legal battle that has been closely monitored by the cryptocurrency industry. As part of the settlement, Ripple will pay a $50 million penalty and withdraw its cross-appeal. Ripple’s Chief Legal […]
