SALLAH ASTARITA & COX, LLC
BOCA RATON, FLORIDA

Our attorneys provide clients with specific skills and unique experiences. and are committed to providing quality service and individualized attention. We welcome the opportunity to serve you. We are a nationwide securities law firm. Because a securities law practice is nationwide, we represent firms, advisers, investors and issuers nationwide. For matters of state law in Florida, we represent parties throughout Florida including the South Florida communities of Aventura, Jacksonville, Miami, Tampa, Saint Petersburg, Hialeah, Orlando, Fort Lauderdale, Tallahassee, Hollywood, Pembroke Pines, Margate, Pompano Beach, Highlands, Hallandale, Miramar, Hillsboro Beach, Coconut Creek, Hollywood, Coral Springs, Lauderdale By The Sea, Tamarac, Deerfield Beach, Plantation, Weston, West Palm Beach, Jupiter, Kendall,, Naples, Palm Beach Gardens, Port St. Lucie, Stuart, Vero Beach, Wellington, West Palm Beach, and others throughout Broward County, Indian River County, Lee County, Martin County, Miami-Dade County, Monroe County and Palm Beach County. In New Jersey, although we are located in Verona, in Essex Country, we represent parties in all parts of the state, in all counties, and in federal court. In New York, our office is midtown, after years on Wall Street, but we represent parties in all state and federal courts in the downstate counties, including Nassau, Suffolk, Brooklyn, Queens, Richmond, and Westchester. Our attorneys provide clients with specific skills and unique experiences. and are committed to providing quality service and individualized attention. We welcome the opportunity to serve you. Mr. Sallah concentrates on Securities Regulation and Enforcement, Broker-Dealer Compliance and Defense, Receivership Litigation, Securities Arbitration, and Business Litigation. Since leaving the SEC in 2004, Mr. Sallah has represented national and regional brokerage firms, as well as publicly traded companies and individuals, in a variety of matters, including SEC, FINRA, stock exchange, and state regulatory investigations, internal investigations, federal and state lawsuits, administrative actions, and arbitrations. Mr. Sallah's main focus in the broker-dealer area involves retail and institutional business, compliance and supervision, anti-money laundering, and employment issues. Represented nominee for Commissioner of Financial Regulation for the State of Florida in FINRA Enforcement Hearing - Dept. of Enforcement v. Carreno, No. 2006005546007. All claims against Respondent were dismissed, with prejudice. See the decision Defense of a large regional brokerage firm in SEC investigation of firm's institutional trading desk, market making activities, and syndicate department (declination letter by SEC) Defense of CFO of publicly-traded company in SEC investigation of his conduct following company's restatement of earnings (declination letter by SEC) Defense of high-profile South Florida businessman in SEC insider trading investigation (declination letter by SEC) Defense judgment in state court in favor of four departing brokers sued by a large, multi-national brokerage firm for violation of restrictive covenants (M.D. Fla. Case No. 2:04-CV-1005-FtM-29DNF) to investigate and prosecute claims brokerage firm in connection with multi-million dollar hedge fund fraud (SEC Rel. No. 51530 - April 12, 2005) to review, revise, and test supervisory procedures in connection with broker-dealer's market making/trading activities Daily Business Review Before entering private practice, Mr. Sallah was a Senior Counsel in the Securities and Exchange Commission's Enforcement Division in Miami, Florida. During his tenure at the SEC, Mr. Sallah handled investigations and litigation in both federal court and administrative forums, including cases involving fraudulent securities offerings, Ponzi schemes, market manipulations, municipal bonds, research analyst conflicts, public company disclosure and periodic reports, and broker-dealer and investment adviser regulation. Mr. Sallah coordinated several matters with federal and state criminal prosecutors, foreign law enforcement agencies, and self-regulatory organizations such as the NASD. SEC v. C. Jones & Company, et al. - case involving sell-side research analyst conflict Executive Committee, Business Law Section, Florida Bar, 1999-2000 Association of Securities and Exchange Commission Alumni Mr. Astarita has concentrated his work in the area of securities regulation and corporate litigation. During the 1980s and 1990's he was a securities litigation partner at a boutique securities law firm on Wall Street. In 2000 he founded Beam & Astarita, LLC, which later merged with Sallah & Cox to form our current firm. During his career he has represented investors, stock brokers, investment advisers, and compliance officers as well as their firms, in all aspects of their business and regulatory affairs. His representation includes all regulatory and compliance matters related to brokerage firms, hedge funds and investment advisors including federal and state registration and examinations, court litigation, securities arbitrations, disciplinary proceedings, and regulatory investigations by the SEC, FINRA, state and commodity regulators. , the Internet site for information regarding United States securities and commodities law, including corporate finance, public offerings, stock broker regulation, securities arbitration and related topics. The site contains original articles and commentary of interest to participants in the United States financial markets, as well as attorneys and educators. The site receives over 12,000 unique visitors a month, making it one of the most popular legal topic sites in the world. From 1999 to 2004, Mr. Cox was a Senior Counsel for the U.S. Securities and Exchange Commission's ("SEC") Office of Enforcement in Miami. While employed by the SEC, Mr. Cox was selected to represent the SEC as a Special Assistant United States Attorney ("SAUSA"). As a SAUSA, Mr. Cox was assigned full-time to the Economic Crimes Section of the U.S. Attorney's Office in Miami to prosecute violations of the federal securities laws.