Overview

About Mark J. Astarita

My legal practice has always involved the representation of financial professionals and firms in all aspects of their operation, compliance and litigation matters, nationwide. I also represent individual brokers from virtually every major firm in their contract negotiations, employment termination, U-4 and U-5 issues. In specialized situations where the facts or law present novel issues, I also represent investors. I have appeared before arbitration panels and regulators in 22 states, have written legal columns for a number of industry publications, been a guest on CNBC and a speaker at a number of firms and industry conferences.

Locally, I represent small and medium sized businesses in their formation, operation and litigation, using my Wall Street background to assist those business entities.

Practice Areas
Professional Experience
ExperienceYears
Litigation Partner, Beam & Astarita, LLC2000-Current
Litigation Partner, Gusrae, Kaplan & Burno1981-2000
Education
SchoolFocusDegreeYear
New York Law School - J.D. (1981)1981
Honors: Degree awarded cum laude; Order of the Barristers; Moot Court Executive Board
Websites
Social Network Profiles
Legal Profiles
Publishing Profiles
Fees
Rates, Retainers and Additional Information:
Hourly and flat fee arrangements available, as well as varied forms of value billing and other non-traditional billing arrangements
Jurisdictions
LocationYears
New JerseySince 1982
New YorkSince 1982
Professional Affiliations
PositionYears
Admitted, United States Supreme Court2008-Current
Admitted, New York State Bar1982-Current
Admitted, New Jersey Bar1982-Current

Publications

Publishing Profiles
feed Latest Posted to JD Supra
Publications
TitlePublisherPublished
Registration of Investment AdvisorsSECLaw.comJune, 2005
What you need to know to start an investment advisory firm. Over 20,000 downloads at SECLaw.com
The Wells Notice in SEC and NASD InvestigationsSECLaw.comSeptember, 2005
What is a wells notice and why does a potential securities fraud defendant care?
Introduction to Securities ArbitrationSECLaw.comJanuary, 2002
Complete walkthrough of the securities arbitration process. Over 50,000 downloads at SECLaw.com
Introduction to the Federal Securities LawsSECLaw.comJanuary, 2002
Basic introduction to the federal securities laws. Over 100,000 downloads at SECLaw.com
Introduction to the Blue Sky LawsSECLaw.comJanuary, 2000
Introduction to the state blue sky laws. Over 150,000 downloads at SECLaw.com

Blogs

Blogs
Twitter / astarita
  • 4 days agoastarita: SEC Charges Brothers With Short Selling Violations: Two brothers living in Chicago and New York were charged by ... http://bit.ly/z7FR9Q
  • February 1, 2012astarita: SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company: Four ... http://bit.ly/yirJOD
  • February 1, 2012astarita: Citigroup Ordered to Pay $500,000 in Age Bias Case: Citigroup Global Markets has been ordered to pay $500,000 to... http://bit.ly/zZmfDa
  • January 31, 2012astarita: Diamondback Capital Agrees to Settle SEC Insider Trading Charges: The SEC announced that Diamondback Capital Ma... http://bit.ly/y2V4mM
  • January 30, 2012astarita: Bank of America Still Causing Problems for Merrill Brokers: Bank of America has always been a disaster in the br... http://bit.ly/ymDz0P
  • January 28, 2012astarita: FINRA Fines Merrill Lynch $1 Million for Failure t... http://t.co/bOReV1qU
Websites

Twitter & Social Networks

Show in Google Earth

112

Community Connections

761

Total Connections

167

Community Followers

1,387

Total Followers

126

Community Following

0

Total Following
Twitter / astarita
  • 4 days agoastarita: SEC Charges Brothers With Short Selling Violations: Two brothers living in Chicago and New York were charged by ... http://bit.ly/z7FR9Q
  • February 1, 2012astarita: SEC Charges Former Executives and Accountants With Fraud at British Subsidiary of Medical Devices Company: Four ... http://bit.ly/yirJOD
  • February 1, 2012astarita: Citigroup Ordered to Pay $500,000 in Age Bias Case: Citigroup Global Markets has been ordered to pay $500,000 to... http://bit.ly/zZmfDa
  • January 31, 2012astarita: Diamondback Capital Agrees to Settle SEC Insider Trading Charges: The SEC announced that Diamondback Capital Ma... http://bit.ly/y2V4mM
  • January 30, 2012astarita: Bank of America Still Causing Problems for Merrill Brokers: Bank of America has always been a disaster in the br... http://bit.ly/ymDz0P
  • January 28, 2012astarita: FINRA Fines Merrill Lynch $1 Million for Failure t... http://t.co/bOReV1qU
  • January 27, 2012astarita: SEC Obtains Emergency Relief Against St. Louis-Based Private Investment Funds after Charging Them and Their Prin... http://bit.ly/zHb9T7
  • January 27, 2012astarita: SEC Charges Florida Bank Holding Company and CEO with Misleading Investors about Loan Risks During Financial Cri... http://bit.ly/ye5WqX
  • January 26, 2012astarita: FINRA Fines Merrill Lynch $1 Million for Failure to Arbitrate Disputes With Employees: FINRA has fined Merrill L... http://bit.ly/yI9vFs
  • January 26, 2012astarita: FINRA Fines Citigroup Global Markets $725,000 for Failure to Disclose Conflicts of Interest in Research Reports:... http://bit.ly/xUXQDe
  • January 25, 2012astarita: Texas-Based Accountant Pleads Guilty to Lying to SEC Investigators: The SEC announced that a Texas-based former ... http://bit.ly/wIv4n0
  • January 18, 2012astarita: SEC charges UBS With Overstating Prices: Yet another problem at UBS. What is going on over there? - SEC Charges ... http://bit.ly/wQT2DM
  • January 11, 2012astarita: Illinois-Based Adviser Charged by SEC in Social Media Scam: The SEC alleges that an Illinois-based investment a... http://bit.ly/yP5OwK
  • January 6, 2012astarita: SEC Charges Life Settlements Firm and Three Executives with Disclosure and Accounting Fraud: A Texas-based finan... http://bit.ly/xsQ6S3
  • January 5, 2012astarita: SEC Charges Magyar Telekom and Former Executives with Bribing Officials in Macedonia and Montenegro: The SEC cha... http://bit.ly/AjqloZ
  • January 4, 2012astarita: FINRA Fines Credit Suisse Securities $1.75 Million for Regulation SHO Violations and Supervisory Failures: FINRA... http://bit.ly/zyzWF2
  • January 3, 2012astarita: Agencies Extend Comment Period on Volcker Rule Proposal: Four federal agencies today extended until February 13,... http://bit.ly/xJIo7X
  • January 3, 2012astarita: SEC Charges Securities Trader with Cross-Border Fraudulent Interpositioning Scheme: The SEC alleges that a forme... http://bit.ly/rVIm2I
  • January 3, 2012astarita: Can You Subpoena a Hashtag?: They seem to think so in Boston. The Suffolk County District Attorney has subpoenae... http://bit.ly/sfSuzx
  • December 30, 2011astarita: SEC Charges GE Funding Capital Market Services with Fraud Involving Municipal Bond Proceeds: The SEC charged GE ... http://bit.ly/vQiETR

Videos

Videos


Contact & Map

New York Location
110 Wall Street, 11th Floor
New York, NY, US 10005
 
Telephone: +1 (212) 509-6544 Ext. 121
Fax: +1 (212) 202-4120
New Jersey Office
60 Pompton Avenue
Verona, NJ, US 07044
 
Telephone: +1 (973) 559-5566