Mark J. Astarita

With over 43 years of experience, Mark J. Astarita is a veteran securities attorney dedicated to representing stock market participants nationwide. His extensive practice focuses on the defense of financial professionals and firms in regulatory matters, as well as the representation of investors in complex legal situations.

Mr. Astarita represents clients in connection with FINRA Examinations and Enforcement Proceedings and SEC investigations. He serves as counsel to individual brokers from virtually every major firm regarding contract negotiations, employment termination, and U-4/U-5 distinct issues. A recognized thought leader in the industry, he is the creator and editor of The Securities Law Home Page (SECLaw.com), the internet’s premier research tool for securities law since 1995.

Bar Admissions & Jurisdictions

Mr. Astarita is admitted to practice in multiple jurisdictions and federal courts, including the highest court in the nation.

• Jurisdiction / Court Admission Date
• U.S. Supreme Court Since 2008
• New York Since 1982
• New Jersey Since 1982
• 2nd Circuit Court of Appeals Since 1985
• 3rd Circuit Court of Appeals Since 1987
• U.S. District Court (NJ) Since 1983
• U.S. District Court (SDNY, EDNY, NDNY, WDNY) 1982–1983
• U.S. Tax Court Since 1984

Education & Honors

• J.D., New York Law School (1981)

  • Honors: Cum Laude

• B.A., City University of New York – Queens College (1978)

Awards & Recognition

AV Preeminent® Rating (Martindale-Hubbell): The highest possible rating for legal ability and ethical standards, reflecting the confidential opinions of members of the Bar and Judiciary.

Professional Experience

• Sallah Astarita & Cox, LLC | Securities Defense Attorney (2013 – Present)

• SECLaw.com | Managing Editor (1995 – Present)

• Beam & Astarita, LLC | Litigation Partner (2000 – 2013)

• Gusrae, Kaplan & Burno | Litigation Partner (1981 – 2000)

Media & Publications

Mr. Astarita is an active voice in the securities community. He has appeared as a guest on CNBC, spoken at numerous industry conferences, and authored columns for various industry publications.

Notable Articles:

• Introduction to Securities Arbitration (2019)

• Enforcement of Arbitration Awards (2016)

• The Wells Notice in SEC and NASD Investigations (2014)

• Tips for Responding to an SEC Subpoena (2014)

Associations:

• Financial Industry Regulatory Authority (FINRA): Arbitrator

• New York State Bar Association (Member since 1982)

• New Jersey State Bar Association (Member since 1982)

• New York County Lawyers Association