The Securities Law Blog from SECLaw.com

The Securities Law Blog has been providing investors, advisors and attorneys with news and expert commentary from top securities attorneys and regulators since 1995. Updated daily.

  • Home
  • SECLaw.com
  • Mark Astarita
  • Contact Us
  • Full RSS Feed
  • Amazon

Follow @seclaw

Saturday, June 9, 2012

Tampering with documents?

Email ThisBlogThis!Share to XShare to FacebookShare to Pinterest
Tampering with documents in connection with a merger investigation can land you in jail!
Newer Post Older Post Home

We Answer Questions!

Name

Email *

Message *

You Didn't Know You Would be Taxed on Your Profits?

Yes Virginia, when you have trading profits, the state and federal government want their cut. Robinhood Traders Face The Taxman After Fallin...

Stock Market Lawyers

If you have a problem with a stock brokerage firm, either as an investor or a financial professional, call

Sallah Astarita & Cox, LLC

Let's find out if our attorneys, who are former SEC Enforcement attorneys and broker-dealer counsel, can help you.

Call 212-509-6544
Email Us

Search

Pages

  • About Mark Astarita
  • How Do I Respond to a Wells Notice
  • Tips for Responding to an SEC Subpoena
  • Introduction to Securities Arbitration
  • Insider Trading - the Legal and Illegal

This Month's Popular Posts

  • SEC Announces Agenda, Panelists for Roundtable on Crypto Custody
  • SEC Publishes New Data and Analysis About Registered Investment Companies and Money Market Funds
  • SEC Small Business Advisory Committee to Explore Regulation A
  • SEC’s Anti-Fraud Public Service Campaign Warns Investors About Relationship Investment Scams
  • SEC Charges PGI Global Founder with $198 Million Crypto Asset and Foreign Exchange Fraud Scheme

Popular Posts

  • Tips for Responding to an SEC Subpoena
  • Reminder: Parking Stock is Illegal
  • SEC Charges Registered Investment Adviser and Former Chief Operating Officer With Defrauding Client
  • UBS Puerto Rico Investment Problems Expand
  • Sallah Astarita & Cox Reviewing Potential Claims Against Other Brokerage Firms for Investments in Puerto Rico Municipal Bonds

Blog Archive

Subscribe to The Securities Law Blog

SECLaw.com

SECLaw.com

About Us and What We Do

  • Mark Astarita Bio
  • Securities Lawyers
  • Sallah Astarita & Cox, LLC
  • Beam & Astarita
  • SECLaw.com
  • SEC Home Page
  • FINRA Home

Financial Planning Feed

  • LPL Financial drops data-breach defamation suit against Ameriprise
  • UBS loses $2B team to Sanctuary Wealth: Advisor Moves
  • How this RIA jumped two succession hurdles at once
  • LPL's Steinmeier sees few 'credible' rivals for Commonwealth advisors
  • How to apply for Best Workplaces in Money Management in 2025
Tweets by @SECLaw

Categories

Accredited Investor Administrative law judge Administrative proceeding Advisers Arbitration Astarita Commentary Auction Rate Securities Bank of America Broker Transition Brokers Citigroup Corporate Finance Deferred Comp Enforcement FINRA FINRA Arbitration FINRA Enforcement Firms Fraud Goldman Sachs Hedge Funds Insider Trading Investigations Investing JPMorgan Litigation Notes Madoff Mark Cuban Merrill Lynch Morgan Stanley Personal Finance Ponzi Private Placements RIAs Reg D Reg FD Reg S-P Regulation SEC SEC Enforcement SEC Rule 10b-5 Securities Act of 1933 Securities Fraud Social Media U.S. Securities and Exchange Commission UBS Wachovia Wells Fargo Wells Fargo Advisors Wells Notice Wells Submission Whistleblower Whistleblowers
The Securities Law Blog is edited by nationally known securities attorney Mark Astarita. Mark is also the editor of our main site, SECLaw.com - The Securities Law Home Page. He is a partner in the securities law firm of Sallah Astarita & Cox, and his personal lawyer website is at Securities Lawyer.

Have a question? Email Mark at mja@sallahlaw.com, or use our securities lawyer contact form.

Follow @seclaw

Total Pageviews

Nothing on this site is legal advice. Nor does viewing this site or communicating with the authors through the site form an attorney client relationship. This blog is intended to provide information to the public, but may be deemed by the New York Courts to be an advertisement. If so, we are required by New York Court Rule 1200.7 to state "Attorney Advertising. Prior results do not guarantee a similar outcome." The blog is part of the online legal information site SECLaw.com - The Securities Law Home Page, and the product of the work of securities lawyer Mark J. Astarita and the securities law firm of Sallah Astarita & Cox, LLC, with offices in New York, New Jersey and Florida.
Sallah Astarita & Cox
SECLaw.com
Copyright 2023 © Mark J. Astarita.. Powered by Blogger.