Expungement of Customer Complaints
The problems associated with FINRA‘s CRD Disclosure System are well known to visitors to SECLaw.com, as we have written about the issue a number of times. The concept of disclosing every allegation,...
View ArticleIntroduction to State Securities (Blue Sky) Laws
While the SEC directly, and through its oversight of the FINRA and the various Exchanges, is the main enforcer of the nation’s securities laws, each individual state has its own securities laws and...
View ArticleFederal Securities Law, a Securities Lawyer Guide
The SEC, FINRA, the States, and much more Introduction The history of the securities regulation and federal securities law are well beyond the scope of this work, and the reader is commended to any one...
View ArticleOverview of the Securities Arbitration Process
Start to Finish, a complete Walk-through by veteran securities arbitration attorney Mark Astarita. Nationally known securities attorney Mark Astarita has represented broker-dealers, investment...
View ArticleGuide to Broker-Dealer Registration
By Mark J. Astarita, Esq. The following article has been adopted from an article distributed by the SEC’s Division of Market Regulation. The article was originally posted in December 2005. It’s last...
View ArticleFinders Explained – Be Careful
A question I am often asked is what is the definition of a finder, or questions that lead to that question. The issue arises when an unregistered person or entity introduces investors to an issuer,...
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