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Mark J. Astarita
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SEC and FINRA Investigations |Martindale-Hubbell®AV Preeminent™ RatedMy 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.
- 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
- General Civil
- Google Meet
- Zoom
- FreeConferenceCall
- GoToMeeting
- Microsoft Teams
- Free Consultation
- Credit Cards Accepted
- Contingent Fees
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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
- 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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- English
- Securities Defense Attorney
- Sallah Astarita & Cox, LLC
- - Current
- Managing Editor - Securities Law Home Page
- SECLaw.com
- - Current
- Litigation Partner
- Beam & Astarita, LLC
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- Litigation Partner
- Gusrae, Kaplan & Burno
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- 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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- AV
- Martindale-Hubbell
- Highest rating possible from the premier attorney rating service
- 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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- Introduction to Securities Arbitration
- SECLaw.com
- Enforcement of Arbitration Awards
- SECLaw.com
- Tips for Responding to an SEC Subpoena
- Securities Law Blog
- Registration of Investment Advisors
- SECLaw.com
- 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.
- AV (Highest)
- Martindale Hubble
