Serving Investors and Advisors Nationwide
We are investigating claims for Morgan Stanley advisors who were denied their deferred compensaton payments when they left the firm. There is a proposed class action pending, but individual advisors may be better served by bringing their individual claims as FINRA arbitrations. We are reviewing claims for a number of former Morgan Stanley advisors, and are interested in speaking to others who have been denied compensation.
The U.S. Securities and Exchange Commission is hosting a free virtual outreach event entitled, Safeguarding the Golden Years: Avoiding Financial Fraud, on Thursday, March 31, 2022 to help educate older adults and their caregivers on the unique challenges…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today announced insider trading charges against three software engineers employed at Twilio, Inc., a San Francisco-based cloud computing communications company, and four family members and friends for allegedly…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today proposed two rules that would require market participants, such as proprietary (or principal) trading firms, who assume certain dealer functions, in particular those who as act as liquidity providers in the…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today announced that Erin E. Schneider, the Director of the San Francisco Regional Office since 2019, is leaving the agency after more than 17 years of service. Monique C. Winkler will become the office’s Acting…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today announced an award of $1.25 million to a whistleblower who provided specific and credible information that prompted SEC staff to open an investigation that resulted in a successful SEC covered action. …
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
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Mark J. Astarita, Esq.
Sallah Astarita & Cox, LLC
Phone: (212) 509-6544
mja@sallahlaw.com
www.sallahlaw.com
www.SECLaw.com
New Jersey Office:
Florida Office:
3010 N. Military Trail
Boca Raton, Florida 33431
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*Mr. Astarita is admitted to practice law in New York and New Jersey.
The Securities and Exchange Commission today announced that Daniel S. Kahl, Acting Director of the SEC’s Division of Examinations, will depart the agency after more than 21 years of service. Richard R. Best, Director of the SEC’s New York Regional Office…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
On March 29, 2022 at 7 p.m. ET the Securities and Exchange Commission’s New York Regional Office, in coordination with Alpha Kappa Alpha Sorority Inc., Tau Omega Chapter, will celebrate women’s history month with a free investor education panel…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.
The Securities and Exchange Commission today announced that Martha Legg Miller, Director of the Office of the Advocate for Small Business Capital Formation (OASB), is leaving the agency at the end of April. Sebastian Gomez Abero will serve as Acting…
Have a securities law question? Call New York Securities Lawyers at 212-509-6544.