Mark J. Astarita
With 30 years of experience as a securities lawyer, Mark knows knows what it takes to effectively, and efficiently, handle litigation matters - when to settle, and when to take the case to a final hearing. Mark has litigated virtually every securities law claim imaginable and can effectively guide you through the process.
Defense of SEC and FINRA investigations, routine exams, 8210 requests, OTRs and Wells Notices are the main stay of Mark's practice. From customer complaints to insider trading investigations, his experience in these proceedings, as well as in the practical aspects of operating a broker-dealer, can provide the experience that you need.
Representation of broker-dealers, investment advisers in all employment related issues, including employment agreements, separation agreements, litigation, promissory notes, and all aspects of the relationship.
The Securities and Exchange Commission today announced that it updated its Public Alert: Unregistered Soliciting Entities (PAUSE) list by adding 25 soliciting entities and four fictitious regulators. Additionally, the SEC is announcing enhancements…
Have a securities law question? Call Sallah Astarita…
The Securities and Exchange Commission today charged California-based Wells Fargo & Co. for misleading investors about the success of its core business strategy at a time when it was opening fake accounts for unknowing customers and selling…
Have a securities law question? Call…