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Mark J. Astarita

Mark J. Astarita

SEC and FINRA Investigations |Martindale-Hubbell®AV Preeminent™ Rated
  • Securities Law, Stockbroker & Investment Fraud, Business Law ...
  • New Jersey, New York
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Biography

My legal practice has always involved the representation of stock market participants, including investors, financial professionals and firms, nationwide. My work includes representation of in connection with FINRA Examinations and Enforcement Proceedings, as well as SEC investigations. 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. I am also the creator and editor of The Securities Law Home Page (www.seclaw.com), the Securities Law Blog (seclaw.blogspot.com), and The Securities Law Letter, a monthly email newsletter. My social media experience has allowed me to represent content publishers in sponsorship agreements, contract matters, and trademark and copyright disputes.

Practice Areas
    Securities Law
    Stockbroker & Investment Fraud
    Business Law
    Business Contracts, Business Dissolution, Business Finance, Business Formation, Business Litigation, Mergers & Acquisitions, Partnership & Shareholder Disputes
    Arbitration & Mediation
    Business - Arbitration/Mediation, Consumer - Arbitration/Mediation, Family - Arbitration/Mediation
    Employment Law
    Employment Contracts, Whistleblower
Additional Practice Area
  • General Civil
Video Conferencing
  • Google Meet
  • Zoom
  • FreeConferenceCall
  • GoToMeeting
  • Microsoft Teams
  • WhatsApp
Fees
  • Free Consultation
  • Credit Cards Accepted
  • Contingent 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 Admitted to Practice
New Jersey
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New York
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2nd Circuit
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3rd Circuit
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U.S. Supreme Court
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United States District Court for the District of New Jersey
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United States District Court for the Eastern District of New York
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United States District Court for the Northern District of New York
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United States District Court for the Southern District of New York
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United States District Court for the Western District of New York
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United States Tax Court
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Languages
  • English
Professional Experience
Securities Defense Attorney
Sallah Astarita & Cox, LLC
- Current
Managing Editor - Securities Law Home Page
SECLaw.com
- Current
Litigation Partner
Beam & Astarita, LLC
-
Litigation Partner
Gusrae, Kaplan & Burno
-
Education
New York Law School
J.D. (1981)
Honors: Degree awarded cum laude
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City University of New York - Queens College
B.A. (1978)
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Awards
AV
Martindale-Hubbell
Highest rating possible from the premier attorney rating service
Professional Associations
Financial Industry Regulatory Authority
Arbitrator
Current
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New York County Lawyers Association
Member
- Current
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New York State Bar  # 1812270
Member
- Current
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New Jersey State Bar
Member
- Current
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Publications
Articles & Publications
Introduction to Securities Arbitration
SECLaw.com
Enforcement of Arbitration Awards
SECLaw.com
The Wells Notice in SEC and NASD Investigations
SECLaw.com
Tips for Responding to an SEC Subpoena
Securities Law Blog
Registration of Investment Advisors
SECLaw.com
Introduction to the Federal Securities Laws
SECLaw.com
Introduction to the Blue Sky Laws
SECLaw.com
Speaking Engagements
Defending SEC Investigations
New York Law School
Avoiding Customer Complaints, Various brokerage firms
Provides in-house lectures for retail stock brokers and investment advisers on how to properly document transactions and client interactions.
Certifications
AV (Highest)
Martindale Hubble
Websites & Blogs
Website
Mark J. Astarita, Esq.'s Website Profile
Website
SECLaw.com - The Securities Law Home Page
Website
Securities Lawyer
Website
Sallah Astarita & Cox, LLC Website
Blog
The Securities Law Blog
Contact & Map
Sallah Astarita & Cox, LLC
11 Broadway
Suite 615
New York, NY 10004
Telephone: (212) 509-6544
Monday: Open 24 hours
Tuesday: Open 24 hours (Today)
Wednesday: Open 24 hours
Thursday: Open 24 hours
Friday: Open 24 hours
Saturday: Open 24 hours
Sunday: Closed
Notice: In office meetings by appointment. Open online 24 hours a day.
Sallah Astarita & Cox, LLC
60 Pompton Ave
Verona, NJ 07044
Telephone: (973) 559-5566
Monday: 9 AM - 6 PM
Tuesday: 9 AM - 6 PM (Today)
Wednesday: 9 AM - 6 PM
Thursday: 9 AM - 6 PM
Friday: 9 AM - 6 PM
Saturday: Closed
Sunday: Closed
Notice: Office meetings by appointment only.
Sallah Astarita & Cox, LLC
3010 North Military Trail
Boca Raton, FL 33431
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