Attorney Profiles

Mark J. Astarita

Managing Member. Mr. Astarita is a founding member of the firm and is responsible for all aspects of the firm's corporate and securities litigation practice, and its broker-dealer practice. A seasoned litigator, Mr. Astarita has represented parties to a variety of corporate and shareholder disputes in state and federal courts in New York and New Jersey, as well as across the country, for the past 25 years. A sampling of his more interesting cases is available here.

On the broker-dealer side, Mr. Astarita represents broker-dealers, registered representatives, investment advisors and other financial professionals, in the startup and operation of financial entities, including broker-dealers, registered investment advisors and hedge funds. His work also includes advice regarding compliance and regulatory matters, as well as the representation of targets in SEC, NASD and NYSE investigations and enforcement actions.

A large part of Mr. Astarita's litigation practice is in the area of securities arbitration. For over 25 years Mr. Astarita has been representing customers, brokers and brokerage firms in NASD and NYSE arbitrations, having handled over 450 arbitration disputes in his career. Mr. Astarita prides himself on his dedication to his clients, and his desire to champion their cause and position. He represents clients in matters across the country, and has represented parties in proceedings held in New York, New Jersey, Florida, Georgia, North Carolina, South Carolina, Virginia, Washington DC, Massachusetts, Maryland, Rhode Island, Pennsylvania, Illinois, Missouri, Texas, North Dakota, Montana, Colorado, California, Louisiana, Nebraska and Oregon.

Mr. Astarita has written extensively on the topic of customer arbitrations, and most of his articles appear at The Securities Law Home Page. Mr. Astarita's article, "Overview of the Securities Arbitration Process: From Start to Finish, a Walkthrough of the Process" was published in the August 2004 Issue of the ICFAI Journal of Corporate and Securities Law.

Various media sources have relied upon Mr. Astarita for commentary on issues relating to the securities laws and online legal issues, and he has been quoted in a number of publications, including the Wall Street Journal, The New York Times, Fortune Magazine, Forbes Magazine, The Los Angeles Times, The New York Law Journal, Ticker Magazine, Research Magazine, Registered Representative, On Wall Street, The Recorder, Legal Times, the New Jersey Star Ledger, the Internet Compliance Reporter, Investment Dealers' Digest, Compliance Reporter, Financial NetNews, Securities Industry Daily, the Bergen Record and the New York Post.

During 2002, he was a regular guest on CNBC's Power Lunch, was a member of the faculty for the 2002 Practicing Law Institute's Securities Arbitration Seminar, and has been a guest lecturer at Pace University's Securities Arbitration Clinic, lecturing on the topic of conducting an arbitration hearing, annually since 2001.

Mr. Astarita is a graduate of New York Law School (cum laude 1981), and is a member of the New York County Lawyers Association, the Essex County Bar Association, and the National Society of Compliance Professionals.

E-mail: astarita at beamlaw.com

Raymond R. Beam, Jr.

Member. Raymond R. Beam Jr. is admitted to practice law in the courts of the State of New Jersey. After serving a judicial clerkship for the Honorable Ralph L. Fusco, J.S.C., Mr. Beam began his career as an Essex County Prosecutor, wherein he handled over 500 criminal cases. He then was selected to be the Chief Assistant Prosecutor in charge of White Collar Crime and Government Corruption Unit, in the Passaic County Prosecutor's Office, where he handled over 600 criminal cases, most involving the investigation and prosecution of white collar crime or investigations of government corruption.

In 1981 Mr. Beam left government and entered private practice. As a criminal defense attorney Mr. Beam has tried over 100 felony cases, including a number of high profile matters. Much of his criminal defense work has been before trial, where he has successfully represented targets, subjects and witnesses of state and federal grand jury investigations.

Mr. Beam's practice is focused on the defense of criminal matters, at the state and local level, as well as civil litigation and regulatory matters.

Mr. Beam is a 1972 graduate of Seton Hall Law School, and he received his undergraduate degree from the College of the Holy Cross.


E-mail: beam at beamlaw.com

Richard I. Alvarez

Of Counsel. Richard I. Alvarez is primarily involved in the firm’s corporate finance, transactional and blue sky practice. Mr. Alvarez has experience in all aspects of federal and state securities law compliance for corporate capital market financings. In addition, Mr. Alvarez has extensive experience in the area of broker-dealer and investment adviser regulation. He has represented issuers and underwriters in connection with public and private offerings of securities and represented private companies in connection with mergers and acquisitions.

Mr. Alvarez is a member of the American Bar Association’s State Regulation of Securities Committee, having previously served as Chair of the Subcommittee on Municipal, Banking, Nonprofit and Other Exempt Securities. He is admitted to the Bar of the State of New York. He is also admitted to practice before the United States District Court for the Southern and Eastern Districts of New York.

Prior to joining Beam & Astarita, Mr. Alvarez was Of Counsel to Orrick, Herrington & Sutcliff, and was a senior associate at the international law firms of Dewey Ballantine LLP, Milbank, Tweed, Hadley & McCloy and Mudge Rose Guthrie Alexander & Ferdon. Previously, he was an associate at Friedman & Shaftan, P.C. and at Gusrae, Kaplan & Bruno.

Mr. Alvarez also maintains his own practice in New York in corporate and securities law. He earned a J.D. in 1981 from New York Law School. He received a B.A. in 1978 from the State University College at Oneonta.

Email: alvarez at beamlaw.com

Stephen J. Caccavale

Of Counsel. Mr. Caccavale concentrates his practice in the areas of commercial and corporate transactions, commercial litigation, bankruptcy and debtor-creditor relations law, commercial and residential real estate transactions, and estate planning and administration (including asset protection and elder law).

Mr. Caccavale is admitted to the New Jersey Bar and U.S. District Court, District of New Jersey, and is a member of the New Jersey State Bar Association (bankruptcy and elder law sections) and the Ocean County Bar Association. Membership/Affiliations: The American Bankruptcy Institute, Marquis Who’s Who in American Law, Lions Clubs International. Consultant, Rutgers University Small Business Development Center (1990-91). Author, “Does a Hotel Guest Have the Same Legal Relationship with Hotelier as a Tenant Does with a Landlord?” Innovator, New Jersey Hotel/Motel Association (August 1990).

Mr. Caccavale maintains his own practice in southern New Jersey. He earned a J.D. from Seton Hall University School of Law; a Masters of Business Administration (M.B.A.) in Finance from Rutgers University, The State University of New Jersey; and a Bachelor of Arts in Economics from Bethany College.


Email: caccavale at beamlaw.com