Beam & Astarita,
Mark J. Astarita
Member. Mr. Astarita is a founding member of the firm and is responsible
for all aspects of the firm's broker-dealer practice. Mr. Astarita's
work primarily involves representation of broker-dealers, registered
representatives, investment advisors and other financial professionals,
as well as investors and shareholders, in public, private and closely
held corporations in matters including federal and state securities
regulation and litigation.
A large part of Mr. Astarita's practice is in the area of securities
arbitration. For over 20 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 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
Raymond R. Beam, Jr.
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
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
Mr. Beam is a 1972 graduate of Seton Hall Law School, and he received
his undergraduate degree from the College of the Holy Cross.
D. Christopher Walker
Walker represents the firm's clients in securities arbitration and
regulatory matters, handling all pre-trial and investigatory preparation.
Prior to attending law school, Mr. Walker was employed by two major
brokerage firms, one as a litigation paralegal handling arbitration
matters with the firm's attorneys, and the other as a Series 7 registered
representative. While attending law school Mr. Walker was employed
by the New York Stock Exchange in their Enforcement Division, and
in the Market Surveillance Department. Mr. Walker enhanced his regulatory
background by working for the Securities Exchange Commission in
Washington DC in its Division of Market Regulation's Summer Honors
Walker is a graduate of Florida State University and received his
JD degree from Brooklyn Law School.
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 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.
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
Mr. Caccavale 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.
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