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Publications by Beam & Astarita:

The Case for Flat Fees In Securities Arbitration (SECLaw.com, September 2009)

Lehman Principal Protected Notes Arbitrations (SECLaw.com, August 2009)

Changes at the SEC: Schapiro Should Be Benefit to Advisors (On Wall Street, August 2009)

The SEC's "Feel Good" Committee (On Wall Street, July, 2009)

10B5-1 Plans What They Are, How They Work, When They Do Not Work (SECLaw.com, May 2008)

NASD Registration of Principals (SECLaw.com, March 2005)

Registration and Regulation of Investment Advisors (SECLaw.com, February 2005)

Registration of Hedge Fund Managers (SECLaw.com, December 2004)

Introduction to Insider Trading (SECLaw.com, March 2004)

Another Mutual Fund Scandal? (SECLaw.com, January 2004)

Spitzer and SEC Asked to Investigate Grasso (SECLaw.com January 2004)

Market Timing Is Legal (SECLaw.com, December 2003)

New Free-Riding and Withholding Rule Adopted (SECLaw.com December 2003)

SEC Crackdown on Unregistered Distributions Reveals Email Pump and Dump (October 2003)

The Story of Martha and The Telephone Call (SECLaw.com, June 2003)

NASD Adjudicatory Council Strikes Case Because of Delays (SECLaw.com, August 2002)

SEC To Investigate Hedge Fund Industry (SECLaw.com, June 2002)

Customers Gearing Up to Sue Merrill (SECLaw.com, June 2002)

SEC Approves NASD/NYSE Analyst Rules (SECLaw.com, June 2002)

State Attorneys General to Investigate Research at Major Firms (SECLaw.com, May 2002)

Doing Business Abroad (SECLaw.com, January 2002)

NASD Expungement Order Proposal Tramples Broker's Rights (SECLaw.com, December 2001)

The Everyone Does it Defense (SECLaw.com, December 2001)

Analyst Suits (SECLaw.com, August 2001)

Analyst Conflicts - Real and Imagined (SECLaw.com, June 2001)

Rogue Customers (Research Magazine, October 1997)

When the SEC Comes Calling (Research Magazine, May 1997)

The Firm's Lawyer or Your Own? (PDF) (Research Magazine, February 2001)

GAO, Get Real

The Failure to Pay Arbitration Awards (PDF)

Promissory Note Fraud Alert (SECLaw.com, March 2005)

Welcome to the Millennium (SECLaw.com, January 2000)

Who Needs to Register

Internet Scams

Are You Complying with the Soft Dollar Rules?

This is Your Life

Markup Mayhem

NASDR Proposes Cease and Desist Authority

Churning or Trading?

Cold Calling Rules

Settling the Matter

Double Jeopardy?

Hearing Hearing

Death of a Salesman

Fight Back

Honoring and Enforcement of Arbitration Awards

Mandatory Arbitration

Brokers Have to be Their Own Judge

Too Much Information

Punishing the Industry

Typical Brokerage Firm Compliance Issues

Internet Offerings- is Spring Street the Start of Something Big?

New NASD Rule Regarding Reporting of Customer Complaints

Damage Control

The SEC's Bad Form

Spring Street Redux

Spring Street Paves the Way

Customer Disputes and Avoiding Them

Liar, Liar?

Typical Customer Complaints in Securities Arbitrations

Trouble Brewing?

Overview of the Securities Arbitration Process

For The Record

URL-Y Warnings.

 

 
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