Welcome to Sallah Astarita & Cox, LLC, a boutique law firm focusing on securities regulatory matters, broker-dealer and investment advisor regulation, white-collar criminal defense, complex commercial litigation, and securities arbitration and litigation. The firm aggressively represents clients throughout the nation.

Our lawyers have over 60 years of collective experience handling securities and white collar criminal matters, including investigations, regulatory proceedings, and enforcement actions in federal, state, and administrative courts. We have also handled investigations conducted by Congressional subcommittees. The firm’s partners draw from past experience working at the Securities and Exchange Commission, the Department of Justice, a national brokerage house, and on Wall Street. Their in-depth experience includes representing clients with matters involving:

Securities Regulation

  • SEC & FINRA Investigations & Inquiries
  • State Financial Investigations
  • SEC Administrative Proceedings
  • SEC Examinations
  • Unregistered Offerings
  • Temporary Restraining Orders (TROs)
  • Preliminary & Permanent Injunctions
  • Insider Trading
  • Market Manipulation
  • Pump & Dump Schemes
  • Ponzi Schemes
  • Misrepresentations in Public Filings
  • Collateralized Mortgage Obligations (CMOs)
  • Collateralized Debt Obligations (CDOs)
  • Court-appointed receivers
  • Mutual Funds
  • Hedge Funds
  • Accounting Fraud
  • Internal Investigations

White-Collar Criminal Defense

  • Grand Jury Investigations
  • Parallel SEC-DOJ Investigations
  • Federal Criminal Trials
  • Securities Fraud
  • Mail Fraud
  • Wire Fraud
  • Mortgage Fraud
  • Health Care Fraud
  • Money Laundering
  • Tax Evasion
  • Federal Sentencing Guidelines

Securities Arbitration & Litigation

  • Registered Representatives
  • Broker-Dealers
  • Investor losses
  • Suitability
  • Failure to Supervise
  • Churning
  • Unauthorized & Excessive Trading
  • Selling Away
  • Defamation
  • Wrongful Termination
  • Non-solicitation Agreements
  • Non-compete Agreements
  • Promissory Notes
  • Form U-5 Damage
  • Investment Advisors

Complex Civil Litigation & Appeals

  • Publicly Traded Companies
  • Officers and Executives
  • Contractual Disputes
  • Investments
  • Federal Appeals
  • Business Disputes
  • General Corporate Issues

Sallah Astarita & Cox maintains offices in Boca Raton, Florida; Verona, New Jersey; and on Wall Street in New York City. We represent clients nationwide and frequently travel to meet with clients and potential clients throughout the United States. Please contact us for a free initial consultation.

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