Corporate and Securities Litigation
At its core, Beam
& Astarita is a litigation firm, representing our clients in
corporate, commercial and securities related litigation. Our decades of
trial experience have provided the knowledge and experience to enable our
firm to effectively represent even the smallest business entity in its
disputes, in an efficient and cost effective manner.
We also provide
legal advice to individuals and corporations, in SEC actions, shareholder
derivative suits, class actions, corporate dissolutions and minority
shareholder litigation, as well as routine commercial disputes with
vendors and customers. For a small sampling of corporate, commercial and
securities litigation experience, visit our "cases" tab.
whether a small internet startup or a well established corporation with
hundreds of employees, requires the services of experienced corporate
counsel, for transactional work, or even the day to day corporate
operations. Many of our corporate clients find themselves too small for
an in house general counsel, and have come to us seeking those services.
With flexible fee arrangements, we are able to provide service and
results to those clients, without the fixed costs associated with hiring
a full time attorney.
include executive employment agreements, vendor agreements, lease review
and negotiation; the entire range of "general counsel" services
for the small to medium sized corporation, partnership or LLC. Our
experience and dedication to our clients has allowed our attorneys to act
as general corporate counsel to our corporate clients, in a cost
effective manner, making it more practical to use the services of an
outside attorney rather than hiring a full time general counsel staff.
attorneys, employment law is a natural part of our practice. Since our
main practice areas are corporate litigation and broker-dealer issues, it
is not much of a surprise to learn that the attorneys at Beam &
Astarita, LLC also provide unparalleled representation of industry
professionals and broker-dealers in their employment related agreements,
litigation, and arbitrations.
Whether we are
representing the firm, a registered representative or an employee, our
experience provides the ability to understand, appreciate, and address
the issues that arise in the employment relationship, including the
hiring process, the workplace and employment termination issues, whether
voluntary, or involuntary. A full description of our experience and
services in this area is contained at the Securities Employment page of
With a significant
portion of our litigation practice involving the defense of brokerage
firms and individual brokers, over the last 25 years we have developed
significant expertise in the area of broker-dealer regulation and
practice is more that just defense, our experience and services also
include pro-active work, such as business planning, including regulatory
advice, advice on new aspects of a business mix, ongoing regulatory and
corporate compliance. Those services include reviews and audits of internal procedures
such as order handling, compliance department function, compliance and
supervisory procedures and manuals and advice on trading-related
Many small and
mid-size brokerage firms and investment advisors simply cannot afford a
full time compliance officer and a full time general counsel. Our broker
dealer clients range in size from 2 man firms, to firms with 500
registered representatives. For some, we are their "outside"
general counsel and compliance department. With innovative fee
arrangements from our corporate counsel work, including monthly flat
fees, and a dedication to providing cost effective representation, we
provide a level of service that matches those of a full time general counsel,
without the ongoing expense to the small firm.
applications to full time compliance and regulatory reviews, Beam &
Astarita has the proven ability and experience to handle all aspect of
Broker-Dealer law and compliance in an efficient and cost effective
Since the virtual
dawn of NASD Arbitration, we have been representing customers and brokers
in hundreds of arbitrations across the country. With the experience of
over 500 arbitration matters, in 22 different cities, over 25 years, we
have reviewed, investigated, presented and defended virtually every type
of customer dispute that could possibly be filed, as well as all types of
industry disputes, whether between firms, or between employees and firms.
We have appeared in state and federal court, as well as before
arbitration panels located in every major city in the United States,
and can assist you with your arbitration and litigation matters.
Investigation and Enforcement Defense
defense practice combines our decades of experience as corporate,
securities and criminal litigators with our decades of broker-dealer
experience. We have represented firms and brokers in investigations
conducted by the SEC, the NASD and the NYSE on virtually every type of
sales practice violation, as well as net capital violations, market
timing, market manipulation and other enforcement matters. For a summary
of our more interesting cases, visit our cases page.
Whether your matter
is in the investigation stage, or proceedings have been commenced, or
even in the instances of a referral for possible criminal prosecution, we
can provide effective representation to you in either resolving the
matter, or taking it through discovery and a hearing.
Our services also include representation of firms and
individuals the SEC, the NYSE, the NASD, and the state regulators in
connection with license hearings, MC400 hearings, requests for exemptive
and "no-action" relief and representation in connection with
compliance examinations, responses to U-5 reviews and exams as well as
regulatory inquiries, investigations and enforcement proceedings.