Securities Litigation

Securities Litigation   Sallah Astarita & Cox regularly represents financial institutions, broker-dealers, financial advisors, investor relations firms, insurance agents, and...

Securities Arbitration

Securities Arbitration We have represented parties in well over 600 securities arbitrations, and have been doing so since the virtual...

Mock Audits & Exams

Mock Audits and FINRA Examinations  Our attorneys have been representing broker-dealers and registered investment advisers for over 20 years in...

Corporate / Business Law

Corporate and Business Legal Services   Every entity, whether a small Internet start-up or a well established corporation with hundreds...

Corporate Litigation

Corporate Litigation A natural outgrowth of our extensive securities litigation experience is corporate and shareholder litigation. Our decades of trial...

Broker Dealer Regulation

Our partners have represented well over 100 broker-dealers from the smallest two man shops to the industry's largest firms. We...

White Collar Crime

White Collar Crime When faced with a white-collar criminal case, there is no substitute for an attorney who knows law...

Securities Employment

Securities Employment Attorneys As securities attorneys, employment law is a natural part of our practice. Since our main practice areas...

Securities Enforcement Attorneys

Securities Enforcement / Defense Attorneys   We represent financial professionals, financial institutions, hedge funds and investors in securities investigations and...

 

New Commentary

 
 

Securities Regulation

Our attorneys have represented financial professionals, their firms, and their clients in all aspects of securities regulation, including:

 

  • SEC & FINRA Investigations & Inquiries
  • Wells Notice Submissions and Responses
  • State Financial Investigations
  • SEC Administrative Proceedings
  • SEC Examinations
  • Unregistered Offerings
  • Temporary Restraining Orders (TROs)
  • Preliminary & Permanent Injunctions
  • Insider Trading
  • Market Manipulation
  • Pump & Dump Schemes
  • Ponzi Schemes
  • Misrepresentations in Public Filings
  • Collateralized Mortgage Obligations (CMOs)
  • Collateralized Debt Obligations (CDOs)
  • Court-appointed receivers
  • Mutual Funds
  • Hedge Funds
  • Accounting Fraud
  • Internal Investigations

 

White Collar Criminal Defense

Our partners have significant experience, on both the prosecution and defense sides in litigation of White Collar Crime, and provide representation in all aspects of the process, including:

 

  • Grand Jury Investigations
  • Parallel SEC-DOJ Investigations
  • Federal Criminal Trials
  • Securities Fraud
  • Mail Fraud
  • Wire Fraud
  • Mortgage Fraud
  • Health Care Fraud
  • Money Laundering
  • Tax Evasion
  • Federal Sentencing Guidelines

Broker Dealer Regulation

 We offer a wide range of compliance and in-house legal services to small and mid-size broker-dealers and investment advisers, including:

 

  • Business Planning
  • Requlatory Investigations
  • Broker-Dealer Startups
  • Acquisitions
  • Employment Agreements
  • Employee Manuals
  • Compliance Manuals
  • Written Supervisory Procedures  

Securities Litigation

Our attorneys have decades of experience in securities litigation in FINRA Arbitration, as well as in State and Federal Courts. We provide those services from our offices in New York, New Jersey and Florida, to investors, financial professionals, and their firms, across the country, including prosecution and defense of all types of claims including:

 

  • Insider Trading
  • Stock Manipulation
  • Whistleblower Claims
  • Penny Stock Fraud
  • Public Offering Fraud
  • Private Placement Fraud
  • Suitability
  • Material Misrepresentations or Omissions
  • Failure to Supervise
  • Churning
  • Unauthorized Trading; Excessive Trading
  • Selling Away
  • Defamation
  • Wrongful Termination
  • Non-solicitation Agreements
  • Non-compete Agreements
  • Promissory Note Litigation
  • Form U-5 Damage

Offices

Boca Raton

New York

Verona

Conference Locations

(By Appointment)

One Boca Place

2255 Glades Road

Suite 300E

Boca Raton, FL 33431

561-989-9080

100 Park Avenue

16th Floor

New York, New York 10017

212-509-6544

By Appointment Only

 

60 Pompton Avenue

Verona, New Jersey 07044

973-559-5566

 

 

Wall Street, New York

Saddle Brook, New Jersey

West Palm Beach, Florida

Tampa, Florida

Miami, Florida

 
 
 

Copyright 2014 Sallah, Astarita & Cox, LLC. Parts of the site are copyright of Sallah & Cox, LLC and/or Beam & Astarita, LLC. Sallah Astarita & Cox is a multi-state law firm with offices in New York, Florida and New Jersey. Because of the unique nature of the practice of securities law, the firm represents clients across the country, in virtually every state in the United States. Contact the firm at 212-509-6544 for questions regarding the scope of its representation. This site is attorney advertising.