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New York Securities Lawyer

Mark J. Astarita

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Home » Articles and Publications

Articles and Publications

How Long Does an SEC Investigation Take?

Responding to an 8210 Request

Overview of the Securities Arbitration Process

Brokers Can Win Promissory Note Cases

Another Broker Promissory Note Win

What is Insider Trading?

Training Cost Arbitrations to Disappear

Be Wary of Famous People Promoting Investments

Customer Attorneys are Not Public Arbitrators

SEC Commissioner Agrees FINRA’s CARDS Proposal is Nuts

Questions? Comments?

Mark is always willing to answer questions about securities law. Send your questions!

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Recent Posts

  • SEC Announces Adam Glazer as Senior Advisor to the Director of the Division of Investment Management
  • KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
  • How Secured Credit Cards Can Build, or Rebuild, Your Credit
  • Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
  • Retouching the Mona Lisa Is Restoration, but a Mickey Mantle? Collectors Cry Fraud

RSS The Securities Law Blog

  • KPMG Paying $50 Million Penalty for Illicit Use of PCAOB Data and Cheating on Training Exams
  • Industrial and Commercial Bank of China Affiliate to Pay More Than $42 Million for Improper Handling of ADRs
  • SEC Announces 2019 Government-Business Forum to Be Held in Omaha
  • SEC Updates List of Firms Using Inaccurate Information to Solicit Investors
  • David Peavler Named Director of Fort Worth Office
  • SEC Adds Fraud Charges Against Purported Cryptocurrency Company Longfin, CEO, and Consultant
  • SEC Adopts Rules and Interpretations to Enhance Protections and Preserve Choice for Retail Investors in Their Relationships With Financial Professionals
  • Marshall Gandy Named Co-Head of SEC’s Investment Adviser/Investment Company Examination Program
  • SEC Charges Issuer With Conducting $100 Million Unregistered ICO
  • Hedge Fund Adviser to Pay $5 Million for Compliance Failures Related to Valuation of Fund Assets

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Sallah Astarita & Cox, LLC
Beam & Astarita, LLC
Securities Law Blog
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Sallah Astarita & Cox, LLC
60 Pompton Avenue
Verona, New Jersey 07044
973-559-5566

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New York, New York 10017
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